SEC Compliance & Regulatory Programs Manager
Kestra Holdings
Kestra Holdings seeks a Lead Compliance professional to oversee the firm’s SEC regulatory program and ensure adherence to SEC requirements, other regulations, and internal policies. You will guide examinations, manage filings, and escalate issues while promoting robust compliance across the organization. The role requires strong communication with regulators, auditors, and management, plus the ability to implement practical policies, monitor activity, and drive continuous improvement in a #J-18808-Ljbffr Kestra Holdings
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the SEC Compliance & Regulatory Programs Manager in Brooklyn, NY vacancy
- EHS Program Compliance Manager Full Time Fort Worth, TX, US 18 days ago Requisition ID: 2283 MP Materials (NYSE: MP) is rebuilding American industrial... ...EHS programs aligned with federal, state, and local regulatory requirements (OSHA, EPA, TCEQ), and build the systems,...SuggestedPermanent employmentFull timeWork at officeLocal area
- ..., part of McLaren Health Care, seeks a regulatory accreditation leader to ensure ongoing... ...develop systems, educate staff, monitor compliance, and coordinate mock surveys, including... ...preferred: bachelor's degree and 1 year of management experience. #J-18808-Ljbffr Karmanos...Suggested
$165k - $180k
Senior Technical Program Manager, Compliance Company Overview Amperesand is reinventing how the world powers its most critical systems. We are... ...portfolio. This role sits at the intersection of engineering, regulatory requirements, quality, and operations — serving as the...SuggestedTemporary workLocal areaShift work- ...promotions, and we foster the trust and relationships that help people do their best work together.What's the Role?We're looking for a Program Manager (IC3), People Strategy to manage key initiatives that make Etsy's people programs work better. This role sits on the People &...SuggestedFull timeWork at officeLocal areaRemote workVisa sponsorshipFlexible hours
Etsy
Brooklyn, NY2 days ago - ...expertise and leadership to guide cutting-edge projects, fostering growth and innovation in a dynamic environment. As a Lead Technical Program Manager within Consumer & Community Banking Core Engineering Solutions, you will be part of a fast-growing product team responsible for...SuggestedWork at officeFlexible hours
JP Morgan Chase
Jersey City, NJ1 day ago - Title: Director of Regulatory ReportingOffice Status: Hybrid-Jersey City 1-2x per weekSalary: $200,000-$215,000This multinational banking... ...regulatory reports for the broker dealer entity including FINRA and SEC reports (Focus, SSOI, OBS, SIS), FRB’s TIC B reports and all...
Madison Davis
Jersey City, NJ3 days ago - ...expertise and leadership to guide cutting-edge projects, fostering growth and innovation in a dynamic environment. As a Lead Technical Program Manager in Asset & Wealth Management Technology Team, you will drive the successful delivery of complex technology projects and...
JP Morgan Chase
Jersey City, NJ1 day ago - Kaleidoscope Family Solutions ABA, Inc. is seeking a Program Operations Manager in Toms River, NJ to lead day-to-day operations for the center. You will manage scheduling, HR tasks, recruitment, and client service, while ensuring accurate staffing and records. The role...
- ...cutting-edge projects, fostering growth and innovation in a dynamic environment.As a Chief of Staff / Strategic Lead Technical Program Manager, in the Corporate Sector- Infrastructure Platforms Foundational Services at JPMorganChase, you will drive the successful delivery...
JP Morgan Chase
Jersey City, NJ3 days ago - ...We are looking for a Regulatory Affairs Leader to join our team with the Aortic Business... ...discussions, and approval timelines Provide management and leadership for Regulatory Associate... ..., timely, and consistent regulatory compliance, submissions, and regulatory processes...Remote workShift work
Sitka Inc.
Brooklyn, NY2 days ago $125k - $165k
...services, housing two SEC registered broker-dealers... ...brokerage and wealth management platform that's... ...: As the Director/AML Compliance, you will lead a dedicated... ...ensuring compliance with regulatory requirements and... ...firm’s AML compliance program in accordance with the...Work at officeLocal areaRemote workmoomoo
Jersey City, NJ4 days ago- ...Administration • Strong understanding of Sports Safety and Law, IHSAA Rules, and Facility Management ESSENTIAL DUTIES AND RESPONSIBILITIES: • Administer policies and procedures in compliance with the Indiana High School Athletic Association, Federal, State and Local Board...Contract workLocal area
- Altus Hospice seeks a Program Director to oversee the Hospice Program in Waco. The Hospice... ...market relationships, financial management, customer service and quality care delivery... ...supervising day-to-day operations, ensuring compliance with Medicare/Medicaid regulations, and...
- ...and criteriaEnsure all projects adhere to project methodology compliance standards set by the companyAssist, share learning, and mentor... ...record of planning and delivering complex projectsExperience managing remote project teams desiredExperience and proficiency in Microsoft...Remote work
The Dignify Solutions, LLC
Jersey City, NJ5 days ago $190k - $230k
...services, housing two SEC registered broker-dealers... ...brokerage and wealth management platform that's... ...Summary The Director of Compliance will play a critical leadership... ...for managing regulatory examinations, inquiries... ...of trade surveillance programs and market conduct...Contract workWork at officeLocal areaRemote workmoomoo
Jersey City, NJa month ago$150k - $170k
Senior Material Planning Program Manager, Supply Chain Company Overview Amperesand is reinventing how the world powers its most critical systems. We are facing a once-in-a-generation opportunity for infrastructure disruption. Electricity demand is skyrocketing, driven...Temporary workLocal areaShift work- # **Program Manager**FEMA Program Management Services# Position OverviewThe Program Manager will provide overall leadership, strategic direction... ...the successful delivery of program objectives, quality, compliance, financial performance, and stakeholder satisfaction.The...Contract workFor contractorsFor subcontractorWork at officeRemote work
Witt O'Brien's
Brooklyn, NY15 hours ago - ...Program Manager For Day Habilitation ProgramWe are seeking a motivated and entrepreneurial Program Manager to lead the launch... ...systems, policies, and operational procedures.Ensure compliance with all applicable regulatory and quality standards.Build relationships with...
Genesis Recruiting LLC
Brooklyn, NY2 days ago - ...Overview SOS International LLC is seeking a highly skilled Program Manager tolead planning, coordination, and execution of mission‑critical... ...: Leads theprogram’s daily operations, ensuring readiness, compliance, and mission alignment. Develops program plans, performance...Contract workFor contractorsFor subcontractorLocal areaWorldwide
SmartRecruiters
Brooklyn, NY1 day ago $136.5k - $204.6k
...ecosystem also includes YLDS, an SEC-registered yield-bearing... ...markets. The Director, Compliance leads the company’s lending compliance program across origination, servicing... ...of a scalable Compliance Management System that mitigates regulatory risk while enabling responsible...Visa sponsorshipWork visa$170k - $185k
...Join our mission as our next Senior Regulatory Affairs Manager. This role manages regulatory activities... ...and permits and supports regulatory compliance to QSR, ISO, CMDR, MDSAP, IVDD/IVDR,... ...with a 401(k) plan, employee assistance program, Employee Stock Purchase Plan, paid...Work experience placementWork at officeLocal areaRemote workWorldwideHome officeNight shift$125k - $155k
...manufacturing lead times and logistics execution • Build and maintain forecasting/reporting dashboards with supported tools, and manage data flow through ERP (Netsuite) and other forecasting tools. • Present forecast performance and strategic recommendations directly...Full timeVIOLETTE_FR
Brooklyn, NY1 day ago- ...Archdiocese of Newark is currently seeking a Full Time – LCSW Program Manager for our West Side Children’s Counseling program located in... ...for a children's outpatient counseling center in compliance with NJ outpatient licensing regulations. Ensure that the...Full time
Catholic Charities of the Archdiocese of Newark
Jersey City, NJmore than 2 months ago - ...Partner with Impact. Leads the firm’s compliance program and promotes adherence to... ...Securities and Exchange Commission (SEC) requirements, other regulatory obligations, and the firm’s internal... ...and escalation activities; advises management on compliance risks and required corrective...
- ...Shield of Kansas Inc. seeks a Senior Director, Compliance and Privacy to direct corporate compliance and privacy programs. This role acts as Privacy Official for HIPAA,... ...to executive leadership and the Board. You will manage government program compliance, drive risk mitigation...
$165k - $200k
The Program Manager leads complex engineering design projects, directs multi-disciplinary technical teams, and develops and maintains... ...assignments achieve technical excellence, strict regulatory compliance, budget adherence, and on‑time project delivery. Technical...Contract workH1bWork at officeLocal area3 days per week- ...Grants Coordinator to support proposal development and manage day-to-day programmatic administration of training and... ...processes, maintain records, and ensure sponsor compliance while collaborating with Program Directors, preceptors, and finance staff across campus...Traineeship
- ...that require coordination across Product, Underwriting, Legal, Compliance, Finance, and external partnersMaintain accountability and commitment... ...with external partners, including auditors and consultants, to manage visibility and escalationStrategic Initiative LeadershipOwn...Live in
SageSure
Jersey City, NJ1 day ago - ...You will lead high-impact transformation programs and help teams adopt practical,... ...operating models.As a Vice President, Program Manager - Innovation & AI Transformation in the... ...business, its underlying processes and the compliance and operational risk and control environment...
JP Morgan Chase
Jersey City, NJ4 days ago - ...agility and personalized attention of a boutique agency with the unrivaled resources and expertise of a global powerhouse. Overview The Manager, Strategy (Planning) is the primary, day-to-day lead for end-to-end communications planning. They are responsible for translating...
Infinite Roar
Brooklyn, NY5 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to SEC Compliance & Regulatory Programs Manager. Be the first to apply!
Related searches
- training and compliance manager Brooklyn, NY
- director global regulatory affairs Brooklyn, NY
- head compliance Brooklyn, NY
- senior regulatory manager Brooklyn, NY
- regulatory manager Brooklyn, NY
- corporate compliance manager Brooklyn, NY
- manager regulatory affairs Brooklyn, NY
- compliance manager Brooklyn, NY
- regulatory affairs director Brooklyn, NY
- senior director regulatory affairs Brooklyn, NY