Trade Compliance Manager Salary in New York, New York

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), d

Phathom Pharmaceuticals is a biopharmaceutical company focused on the development and commercialization of novel treatments for gastrointestinal (GI) diseases. We have licensed the exclusive rights in the United States, Europe, and Canada to vonoprazan, a first-in-class potassium-competitive acid blocker (PCAB). Phathom currently markets VOQUEZNA® (vonoprazan) tablets for the treatment of Erosive GERD and associated heartburn in adults, as well as VOQUEZNA® TRIPLE PAK® (vonoprazan tablets, amoxicillin capsules, clarithromycin tablets) and VOQUEZNA® DUAL PAK® (vonoprazan tablets, amoxicillin capsules) for the treatment of H. pylori infection in adults. In addition, the company is actively investigating the use of vonoprazan as a treatment for Non-Erosive GERD, with a New Drug Application currently under review by the FDA and a separate Phase 3 trial planned to initiate in 2024. We believe we can change the status quo of treatment for acid-related disorders and have assembled a team of s

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 Information Specialty pharmaceuticals Job Duties Coordinates the DEA Systems to assure compliance to procedures and regulations. Maintains running reconciliation for inspection purposes. Hosts DEA Inspections Prepares all DEA reportable documentation-Arcos, Quota, UN, Bienniel, CSOS, Import / Export Prepares or reviews and approves all procedures related to DEA compliance. Trains company employees in DEA regulations Perform duties for QA as required. Assists in company regulatory inspections as well as conducting internal and external audits. Audits vendors, contractors, and contract research organizations Maintain vendors certification program. E

Why this role is important: The SOX Compliance Senior reports to the SOX Compliance Manager. The position is a highly visible role that recognizes the importance Vonage places on implementing and maintaining a strong system of internal controls. The person will evaluate the design and effectiveness of internal controls and operating practices, develop and prepare audit objectives and scope, and develop and communicate to management practical solutions to address control issues. The ideal candidate will be a high-performing individual, with excellent technical and communications skills, who is looking for career growth in a dynamic, technology environment. What you will do: Evaluate the design of financial internal controls based on walkthroughs, meetings with control owners, and acquired knowledge of the business. Evaluate the effectiveness of financial internal controls by testing all of the Company's key financial controls. Develop and implement audit objectives, scope, and test plan

Sr. Compliance Manager About SBG Funding SBG Funding is one of the nations leading sources of business funding. We are a forward-thinking niche financing firm with years of experience in the commercial lending arena. Our mission is to provide fast, flexible, and affordable capital to small businesses nationwide. Job Description As a Compliance Manager, you will be responsible for overseeing and managing compliance within the organization, ensuring that our operations and business transactions follow all relevant legal and internal guidelines. Your role will include reviewing employee work, developing company policies, and responding to policy violations. How Youll Make an Impact implement, and manage the companys compliance program to ensure compliance with legal, regulatory, and internal policy requirements. regular audits and risk assessments to detect compliance issues, identify potential areas of compliance vulnerability and develop corrective action plans. abreast of regulatory de

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), d