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Compliance Manager jobs - Manhattan, NY

Viewing 1 - 10 of 3,474 jobs

  • Compliance Manager - Investment Adviser

    Compliance Search Group - New York City, NY

    Compliance Manager- Investment Adviser A Financial services firm, SEC-registered investment adviser division, seeks a ... Manager who be responsible for supporting the adviser compliance related activities where the firm’s acts as an...

    8 days ago from The Ladders

  • Senior Compliance Officer, Asset Management Division (Global Investment Bank)

    Compliance Search Group - New York City, NY

    will provides compliance support and guidance to the chief compliance officer on issues involving the Investment ... Perform filings with FINRA. Work closely with the Chief Compliance Officer of the Asset Management Division to...

    44 minutes ago from eFinancial Careers

  • Chief Compliance Officer - Asset Management

    Efinancial Careers - New York City, NY

    and deliver training and continuing compliance education for employees • Monitor compliance with client investment ... to hire a Chief Compliance Officer with 7 - 10+ years of compliance experience within the asset management industry. A...

    23 days ago from eFinancial Careers

  • Compliance Officer

    Access Staffing - New York City, NY

    global Banking conglomerate seeks for expanding divisions; Compliance Associate and Compliance Officer. Must have ... outside legal counsel to provide expertise on regulatory compliance matters. Assess and measure compliance and related...

    8 days ago from The Ladders

  • Compliance Manager, Chief Investment Office, Treasury and Corporate

    Global Securities, Investment and Retail Banking Firm - New York City, NY

    team of Compliance Officers responsible for delivering the compliance program to the Chief Investment Office, Corporate ... regarding the CTC Compliance program both within Compliance and the businesses. Assist in preparation,...

    6 days ago from IvyExec

  • Advisory Financial Services Risk & Regulatory Manager FSR Valuations (6842627)

    PwC - New York City, NY

    and performance of their business, with a focus in compliance management, business continuity, risk and governance, and treasury management. Position/Program Requirements: Minimum Years of Experience: 6 Minimum Degree Required: Master's...

    22 days ago from PwC

  • Chief Compliance Officer

    Compliance Search Group - New York City, NY

    Chief Compliance Officer A registered investment adviser firm seeks a Chief Compliance Officer who will be responsible ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.

    7 days ago from The Ladders

  • Compliance Manager

    Global Leader In Investment Management - New York City, NY

    15+ years relevant product/financial services and/or auditing or compliance experience preferred ... rules and regulations. Solid understanding of Enterprise Compliance Risk Management and best practices. Excellent...

    12 days ago from IvyExec

  • Front Office Project Manager - Capital Markets - Change Management - Change Control - Regulatory

    Mitchell Martin - New York, NY

    and Qualifications - Senior Level Front Office Project Manager with Regulatory Reporting - DoddFrank - CCAR or DFA ... or Simlar OMS - Been involved with product development - Compliance and Regulatory Dodd-Frank Central Clearing...

    2 hours ago from Dice

  • Compliance Counsel

    Access Staffing - New York City, NY

    manual; policies, procedures and controls. Oversee compliance staff monitoring portfolio compliance on separate ... Assist portfolio manager and traders with daily compliance inquiries. Respond to client questionnaires and...

    30+ days ago from The Ladders