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Alba Wheels Up
Valley Stream, NY, United States
Alba Wheels Up is a premier Customhouse broker and Freight Forwarder. Alba Wheels Up has become the standard for the expertise needed to handle the Wearing Apparel, Perishable, Electronics and Marble & Stone sectors, traditionally the most difficult commodities to both harmonize and provide supply chain management to. Our Global network provides tr
Job Source: Alba Wheels UpHumanEdge
Northvale, NJ, United States
Opportunity Description The QA & DEA Compliance Coordinator is responsible for maintaining all administrative controlled substances activities, including all reports and quotas, maintain all controlled substance certificates, performs duties of the QA & compliance associates as required. Reports to Senior Manager of Quality Assurance. Company Infor
Job Source: HumanEdgeHumanEdge
Northvale, NJ, United States
Opportunity Description The QA & DEA Compliance Coordinator is responsible for maintaining all administrative controlled substances activities, including all reports and quotas, maintain all controlled substance certificates, performs duties of the QA & compliance associates as required. Reports to Senior Manager of Quality Assurance. Company Infor
Job Source: HumanEdgeAmerican Express
New York, NY, United States
You Lead the Way. We've Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you crea
Job Source: American ExpressProgyny
New York, NY, United States
Thank you for considering Progyny! The Compliance Manager is responsible for policy development, coordinating and performing all pre-delegation and annual due diligence audits and monitoring of delegated activities to ensure compliance with National Committee for Quality Assurance (NCQA), Utilization Review Accreditation Commission (URAC), contract
Job Source: ProgynyHumanEdge
Rockleigh, NJ, United States
Opportunity Description The QA & DEA Compliance Coordinator is responsible for maintaining all administrative controlled substances activities, including all reports and quotas, maintain all controlled substance certificates, performs duties of the QA & compliance associates as required. Reports to Senior Manager of Quality Assurance. Company Infor
Job Source: HumanEdgeHispanic Federation
New York, NY, United States
Who We Are Hispanic Federation (HF) is the nation's premier Latino nonprofit membership organization. Founded in 1990, HF supports Latino families and strengthens Latino institutions through grantmaking, capacity building assistance to Latino nonprofits, advocacy, disaster relief, and direct services. Values that drive our work include diversity,
Job Source: Hispanic FederationMetropolitan Transportation Authority
New York, NY, United States
Description Position at MTA Headquarters JOB TITLE: Compliance Manager SALARY RANGE: $92,700 - $104,700 HAY POINTS: 519 DEPT/DIV: MTA Corporate Compliance SUPERVISOR: Agency Chief Compliance Officer LOCATION: 2 Broadway HOURS OF WORK: 9:00 AM - 5:30 PM SUMMARY: The Compliance Manager is responsible for monitoring employee walk-ins
Job Source: Metropolitan Transportation AuthorityNew York, NY, United States
We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan.Our client is a full-service, integrated financial services firm that provides investment guidance for high-net-worth individuals and institutions.The position is an add to staff as the firm continues to grow.
Responsibilities:
Advise and provide support to relevant business units on compliance issues specific to account onboarding and trading of institutional and entity accounts.
Oversight of investment banking, capital markets and institutional business activities
including, but not limited to , regulatory filings (e.g. Reg M, 5123), Rule 606, etc. Ensure company procedures are being followed.
Review policies and procedures to ensure compliance with relevant rules & regulations. Recommend changes to the CCO.
Serve as back up to other compliance staff in their absence (e.g., AML review, U4
updates, foreign and domestic retail accounts etc).
Respond to regulatory (e.g. 8210, cause exams), due diligence questionnaires and independent audit requests
Assist in the review of electronic communications to ensure that all regulatory and
internal communication policies are adhered to.
Assist in other matters as requested by the CCO.
Required Qualifications: FINRA Series 7 and 24 Preferred
5+ years experience working in Broker-Dealer Compliance
In office daily
If you meet the required qualifications and are interested in this role, please apply today.
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About Solomon Page
Founded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long-term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit:solomonpage.com and connect with us onFacebook , andLinkedIn .
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Email Alert for Compliance Manager jobs in New York, NY, United States
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