Sec Compliance Manager jobs in New York, NY

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Legal & Compliance Officer
Barclay Simpson - New York, NY
Manager is seeking to appoint a Legal & Compliance... compliance role covering their US activities. As Legal & Compliance Officer you will ensure compliance...
Sponsored by Barclay Simpson - 6 days ago
Senior Compliance Officer
Invesco 44 reviews - New York, NY
Job Summary) : The Senior Compliance Officer reports to the Chief Compliance Officer (CCO) for the WL... compliance culture. Works closely with key managers...
Sponsored by Invesco - 20 days ago

Compliance Manager

Robert Walters 9 reviews - New York, NY
A leading independent investment bank and asset management firm are seeking a compliance professional to act as the firms AML officer, in addition to adding... $100,000 - $125,000 a year
4 hours ago - save job - block - email - more...

Accounting Manager – Technical Accounting

Time Inc 87 reviews - New York, NY
The compilation and preparation of Security Exchange Commission (SEC) reports (10-Q and 10-K) and completion of GAAP checklist, including XBRL....
9 days ago - save job - block - email - more...

Manager Financial & Business Analysis, Regulatory Reporting

HSBC 1,950 reviews - New York, NY
Knowledge of SEC broker-dealer regulatory rules is a plus. Strong knowledge and understanding of financial services and products preferred....
13 days ago - save job - block - email - more...

New York (R&C - General Risk) Associate Director

Protiviti 10 reviews - New York, NY
Deep knowledge of bank and/or credit-related regulatory requirements, specifically related to consumer compliance regulations (e.g., Federal Reserve regulations...
20 days ago - save job - block - email - more...

MC - Risk Management Financial Services, PE&CE Manager +

Accenture 2,051 reviews - New York, NY
Management Consulting, Risk Management, Financial Services, PE&CE Manager. New York NY, Charlotte NC, Chicago IL, Atlanta GA....
16 days ago - save job - block - email - more...

Compliance Officer II Job

BNY Mellon 790 reviews - New York, NY
wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients'...
21 days ago - save job - block - email - more...

Regulatory Compliance Consultants

3coast - New York, NY
Manager - 12% of base salary. Senior Manager - 14% of base salary. Associate Director - 16% of base salary.... $150,000 - $200,000 a year
19 days ago - save job - block - email - more...

Mutual Fund Compliance Analyst

Neuberger Berman Management LLC - New York, NY 10158 (Midtown area)
Identify violations and provide periodic reports to the CCO and appropriate senior compliance and business personnel as appropriate....
Monster - 2 days ago - save job - block - email - more...

Senior Compliance Manager - Broker Dealer- MMC - New York

Marsh & McLennan Companies 149 reviews - New York, NY
The Senior Compliance Manager is required to have significant securities expertise ensuring that the organization complies with all regulations relating to the...
18 days ago - save job - block - email - more...

BRCM Risk Manager

HSBC 1,950 reviews - New York, NY
This position will support the Regional Manager for BRCM in the Americas in enhancing the operational control environment and implementing an oversight and...
12 days ago - save job - block - email - more...
Manager/VP, Fixed Income Compliance Generalist
Lloyds Bank 275 reviews - New York, NY
to ensure compliance with FINRA/SEC rules and... compliance experience working for a registered broker/dealer and/or FINRA/SEC; fixed income compliance...
Sponsored by eFinancialCareers - 23 hours ago
Compliance Examiner - Member Regulation, Membership Applicat...
Finra 18 reviews - New York, NY
individual for our Compliance Examiner opening in... and compliance policies, procedures, internal controls and systems to determine compliance with...
Sponsored by Finra - 28 days ago
Mutual Fund Compliance
Compliance Search Group - New York, NY
Compliance Officer in the Fund Chief Compliance... Compliance Officer and Fund Boards. The candidate will report to the Compliance Manager within the group...
Easily apply
Sponsored by Compliance Search Group - 30+ days ago
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