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Sec Compliance Senior / Manager jobs

Viewing 1 - 10 of 4,005 jobs

  • Senior Broker Dealer Principal (FINRA Series 7 Required)

    MetLife - Charlotte, NC

    business cases for compliance with internal, FINRA , and SEC suitability and replacement guidelines * Researches and ... gender identity or expression, marital or domestic/civil partnership status, disability, veteran status,...

    30+ days ago from MetLife

  • Senior Director US Finance and Strategy – Logistics Finance

    Walmart - Bentonville, AR

    * Ensures compliance with Security and Exchange Commission (SEC) regulations * Leads investment decision analysis * ... long-range financial planning and analysis * Partners with Senior Management to plan and analyze business performance *...

    6 hours ago from Walmart

  • Senior Financial Analyst - SEC Reporting

    HP - Palo Alto, CA

    and relevant interim and annual Form 10-Q/K reports with the SEC. · Provide a meaningful contribution as ... knowledge of US GAAP and familiarity with SEC reporting regulations to assist with HP’s SEC filings and address...

    30+ days ago from HP


    Union Bank - San Francisco, CA

    The SEC Reporting Senior Analyst reports to the SEC Production Manager and is responsible for supporting the ... Equal Opportunity Employer Minority/Female/Disability/Veterans.

    12 days ago from Union Bank


    Mitsubishii UFJ Financial Group - San Francisco, CA

    The SEC Reporting Senior Analyst reports to the SEC Production Manager and is responsible for supporting the ... Equal Opportunity Employer Minority/Female/Disability/Veterans...

    14 days ago from Mitsubishii UFJ Financial Group

  • Senior Compliance officer- Investment Manager (00818864)

    National Recruiting Group - New York City, NY

    Senior Compliance officer- Investment Manager * Salary: up to $140K plus bonus * Location: New York, NY, USA * Job Type: ... Aug 14 Leading investment manager is seeking an experienced Compliance officer to join their team. focusing on Mutual...

    18 hours ago from eFinancialCareers Ltd

  • Senior Compliance Officer Regulatory Projects Risk Assesments

    Citi - Jersey City, NJ

    Group Compliance Strategy and Planning team, this Senior Compliance Officer will lead highly-visible ICG Compliance ... environment. Projects may include: * Review of global compliance programs, including employee trading, outside...

    1 day ago from Citi

  • Senior Counsel & Compliance Manager

    Leading Ny-based Alternative Investment Firm - Finance Industry - New York City, NY

    manuals and training materials. Gather and maintain compliance certifications and otherwise implement compliance ... Compliance Officer to resolve outstanding issues. Maintain compliance logs, control room procedures and other...

    6 days ago from VelvetJobs

  • Chicago Asset Management Assurance Senior Associate (5238548)

    PwC - Chicago, IL

    PwC/LoS Overview: Are you interested in the opportunity to work for an industry-leading firm that services clients that ... Position/Program Requirements: Knowledge Preferred: Thorough knowledge of public accounting and audit practices, procedu...

    14 days ago from PwC

  • Senior Compliance Manager

    Your Next 9 To 5 - Auburn Hills, MI

    immediate opening for a dynamic, hands on Senior Compliance Manager to join their corporate team. This highly visible ... Work with Regional Compliance teams to ensure consistency among the various SOX compliance initiatives...

    5 hours ago from ZipRecruiter

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