9 Jobs for Sec Regulations in the United States

Compliance Officer

Invesco Group Services, INC. • Atlanta, US • Hybrid

70,000 - 100,000 USD (est.)

•Full-Time•Permanent

SEC RegulationsRegulatory ComplianceFINRA RegulationsCFTC/NFA Regulations

Vice President, Investor Relations

Allstate Insurance Co. • Cook County, US • Hybrid

340,000 - 430,000 USD (est.)

•Full-Time•Permanent

Board AdvisoryCapital MarketsSEC RegulationsFinancial Acumen

Financial Advisor

UMB FINANCIAL SERVICES INC • Overland Park, US • On-site

102,960 - 125,840 USD (est.)

•Full-Time•Permanent

IRAsSalesRisk AssessmentSEC Regulations

Control Room Associate

BBVA SECURITIES NEW YORK • New York, US • On-site

120,000 - 130,000 USD (est.)

•Full-Time•Permanent

ComplianceNFA RegulationsSEC RegulationsCFTC Regulations

Senior Manager Fund Accounting

UMB FUND SERVICES INC • Milwaukee, US • Hybrid

141,354 - 207,900 USD (est.)

•Full-Time•Permanent

ExcelMicrosoft OfficeGAAPAudit

Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY)

Manufacturers and Traders Trust Co • New York, US • Hybrid

109,300 - 182,100 USD (est.)

•Full-Time•Permanent

Rule 144AFINRA RulesRegulation MSurveillance

Senior Fund Administration Accountant - Transamerica Asset Management

Transamerica • Denver, US • Hybrid

71,000 - 80,000 USD (est.)

•Full-Time•Permanent

Microsoft ExcelAudit SupportFund AccountingSEC Regulations

Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)

MUFG Securities Americas Inc. • New York, US • Hybrid

185,000 - 242,000 USD (est.)

•Full-Time•Permanent

ComplianceGovernanceFINRA RulesNFA Regulations

Research Risk Management Vice President

MS & Co., LLC • New York, US • On-site

140,000 - 250,000 USD (est.)

•Full-Time•Permanent

ComplianceRisk ManagementOperational RiskIncident Management

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