• Compliance Oversight Manager-EPOCH

    TD Bank (New York, NY)
    …new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under management is looking ... in many aspects of Epoch's compliance program including portfolio and personal trade compliance, marketing review, conducting regular compliance training as well… more
    TD Bank (09/21/25)
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  • Accounting Advisory Manager

    Grant Thornton (New York, NY)
    …business combinations, carve-outs and initial public offerings + Preparation of financial statements and SEC filings including 10-Ks, 10-Qs, 8-Ks and preparation ... of pro-forma financial views + Assisting clients in getting ready for...order to be a proactive problem solver and sought-after adviser to clients and colleagues + Training and supervising… more
    Grant Thornton (10/08/25)
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  • Deputy Chief Compliance and Risk Officer,…

    HUB International (New York, NY)
    …a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. ... the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing...procedures which support Rule 206(4)-7. + Email surveillance / personal trade reviews / marketing material reviews + Develop… more
    HUB International (08/21/25)
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  • Accounting Advisory Managing Director

    Grant Thornton (New York, NY)
    …transition, and assisting in the separation of the business - for financial sponsors and corporate clients + Supporting SEC regulatory filings for carve-outs ... market trends in order to be a proactive problem solver and sought-after adviser to clients and colleagues + Assisting audit teams in evaluating accounting policies… more
    Grant Thornton (10/11/25)
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  • Compliance Analyst

    Guardian Life (New York, NY)
    …retail wealth management business, including its affiliated broker-dealer and investment adviser entities. + Assist with the Firm's Compliance testing program and ... program effectiveness and efficiencies. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along… more
    Guardian Life (08/27/25)
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