Sec Compliance Manager jobs in New York, NY

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Senior Compliance Officer
Invesco 45 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 - 2 days ago
Compliance Officer II Job
BNY Mellon 801 reviews - New York, NY
the Dreyfus Fund Chief Compliance Office and the Fund... of a Compliance Program to satisfy SEC Rule 38a-1 of the Investment Company Act. Manages compliance...
Sponsored by eFinancialCareers - 2 days ago

Compliance Manager - Equities

JPMorgan Chase 5,061 reviews - New York, NY
The Compliance Department is looking for an Equity Compliance Officer who will be responsible for:. Providing advisory, training and monitoring services in...
11 days ago - save job - email - more...

Compliance Manager 5

Wells Fargo 6,441 reviews - New York, NY
A Senior Compliance Officer in the Wholesale Operational Risk & Compliance Group (WORC) is responsible for working with the WORC Chief Compliance Officer (CCO)...
20 days ago - save job - email - more...

Compliance Officer II Job

BNY Mellon 801 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'...
4 days ago - save job - email - more...

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
13 days ago - save job - email - more...

Compliance Analyst - PIM

Prudential 554 reviews - Newark, NJ
Prudential Investment Management (PIM) Compliance seeks a Compliance Analyst to support PIM's Public Fixed Income unit in Newark, NJ....
3 days ago - save job - email - more...

Accounting Manager – Technical Accounting

Time Inc 88 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....
22 days ago - save job - email - more...

GWIM Sr Compliance Manager

Bank of America 8,052 reviews - New York, NY
Implements, monitors and tests compliance programs for institutional retirement programs/products;. applies knowledge and expertise to influence business...
11 days ago - save job - 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...
30+ days ago - save job - email - more...

SEC Reporting Manager

Robert Half Management Resources 2,213 reviews - New York, NY 10017 (Midtown area)
Financial Services Organization in Midtown is looking for a Consultant with experience to help with the quarterly SEC filing.... $35 - $45 an hour
6 days ago - save job - email - more...

Compliance Operations Risk Manager

HSBC 1,977 reviews - New York, NY
The Compliance Operations Risk Manager supports New York GBM Operations Management with regulatory initiatives, inquiries and Exams....
29 days ago - save job - email - more...
Chief Compliance Officer Mutual Fund
Michael Page International - US 41 reviews - New York, NY
to add a Chief Compliance Officer in the NYC office with SEC regulatory experience to lead the compliance program. Minimum 7 years of regulatory compliance and... $175,000 - $300,000 a year
Sponsored by eFinancialCareers - 21 days ago
Control Room Compliance Officer
UBS AG - Investment Bank - US - New York, NY
the core running of the Compliance & Operation Risk (C&ORC) Control Room. The primary areas of responsibility will be performing core compliance “control room...
Sponsored by eFinancialCareers - 30 days ago
Hedge Fund Compliance Manager / Senior Compliance Associate
The Compliance Search Group, LLC - New York, NY
Senior Compliance Associate or Compliance Manager who will report directly to the CCO. The Senior Compliance Associate or Compliance Manager will assist the... $130,000 a year
Sponsored by eFinancialCareers - 4 days ago

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Company with Sec Compliance Manager jobs
45 reviews
Great ideas transcend borders. Invesco has the global capability to deliver our best ideas to investors around the world.
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