Sec Compliance Manager jobs in New York, NY

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Director, Regulatory Compliance Risks, Internal Audit
Prudential - 1,369 reviews - Newark, NJ 07102
If so, we are looking for an experienced compliance professional or auditor with experience in the insurance/financial services regulatory compliance arena....
Compliance Analyst
Prudential - 1,369 reviews - Newark, NJ 07102
Assist with ad hoc compliance projects (e.g., client reports, compliance attestations/certifications). PGIM Fixed Income Compliance seeks a Compliance Analyst –...
IT Advisory Manager, Financial Services, Regulatory Complian...
EY - 3,889 reviews - New York, NY
Front-office trading, regulatory operations, regulatory reporting, compliance, compliance technology, middle office....

Senior Compliance & Operations Manager

Vestwell - New York, NY
$100,000 - $145,000 a year
Develop compliance testing. Run day-to-day compliance operations. Oversee ADV and SEC filings. Thorough technical operation risk and compliance knowledge....
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Compliance Officer, Manager Broker Dealer Inspection

TIAA - 542 reviews - New York, NY 10002 (Lower East Side area)
Develop testing to monitor compliance to those processes and procedures. Audit, Compliance Testing or Quality Assurance experience, preferably in Broker-Dealer...

Manager/Director, Regulatory Risk

KPMG - 3,633 reviews - New York, NY 10154 (Midtown area)
Knowledge of SEC capital rules SEC 15c3-1 and knowledge of Customer Protection Rules SEC 15c3-3. Knowledge of SEC reporting and recordkeeping rules SEC 17a5,...

Senior Manager, Regulatory Exam Management

Scotiabank - 2,356 reviews - New York, NY
Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures....

Head of Compliance - North America

Third Bridge - 13 reviews - New York, NY
Compliance function of a financial investor/institution regulated by the SEC (or equivalent). Deliver compliance training for new employees....

Risk & Regulatory Advisory Senior Associate

BDO - 766 reviews - New York, NY 10017 (Midtown area)
Onsite compliance training. Mock SEC and FINRA inspections. Due diligence reviews related to vendor management and compliance programs....

VP - FRM Regulatory Oversight & Self-Assessment

Morgan Stanley - 2,082 reviews - New York, NY 10032 (Washington Heights area)
FRB, OCC, SEC, PRA, FINRA, CFTC). Analyze key upcoming regulatory guidance to assess level of compliance with current practice....

Electronic Communications Compliance Specialist, Associate

BlackRock - 249 reviews - New York, NY 10001 (Chelsea area)
Cultivating and enhancing BlackRock’s compliance culture; Developing and fostering excellence within the Compliance team....

Compliance Program Manager

PNC Financial Services Group - 3,775 reviews - New York, NY 10261 (Murray Hill area)
Reviews compliance reports. Coordinates compliance monitoring program. AUDIT AND COMPLIANCE FUNCTION - Extensive Experience....

Junior Compliance Generalist

Crédit Agricole CIB - 432 reviews - New York, NY
The Compliance Generalist reports directly to the Head of Capital Markets Compliance in the Americas and ultimately to the Regional Compliance Officer for the...
Electronic Communications Compliance Specialist, Associate
BlackRock - 249 reviews - New York, NY 10001
Cultivating and enhancing BlackRock’s compliance culture; Developing and fostering excellence within the Compliance team....
Compliance/Operations Manager
Northeast Securities, Inc. - Uniondale, NY 11553
We are seeking a mid-level manager with 5+ years of broker-dealer and RIA compliance experience as well as an understanding of brokerage operations to assist in...
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