Top 124 Finance operations occupations Jobs in Bethpage, Ny

AVP, Fund Compliance - Mutual Funds
Ultimus Fund Solutions —Hauppauge, NY
- $75,000 - $100,000 a year
- Full-time
- Writing skills
- Office
- 3 years
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Operations Generalist II
Dr Bank —Darien, CT
- Full-time
- Hybrid work
- Mid-level
- 3 years
- Continuous improvement
- Health savings account
- Health insurance
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11d
Associate Fund Compliance Administrator
Ultimus Fund Solutions —Hauppauge, NY
- $47,000 - $57,000 a year
- Full-time
- Mid-level
- Office
- Finance
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Client Service Associate / Wealth Management Operations Specialist
Asset Management Group Inc —Stamford, CT
- $75,000 - $90,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health savings account
- Health insurance
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Trade Settlement Analyst
Experis —White Plains, NY
- $35 an hour
- Contract
- Mid-level
- Office
- Analysis skills
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15h
Senior Manager, Investment Operations
Cartesian FinOp Partners —Stamford, CT
- $100,000 - $150,000 a year
- 7 years
- Finance
- Bachelor's degree
- Disability insurance
- Health insurance
Client Service Representative (Intermediate) – Banking Operations & Payments
The Goodkind group —New York, NY
- $30 - $35 an hour
- Contract
- Hybrid work
- Microsoft Outlook
- Mid-level
- US work authorization
Quick Apply
4d
Mortgage Operations Specialist
Bellwether Staffing Solutions —Stamford, CT
- $60,000 - $70,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- Health savings account
- Health insurance
Quick Apply
19h
Investor Relations Transfers Specialist – Alternatives/Private Markets
InfiCare —New York, NY
- $120,000 - $140,000 a year
- Contract
- Hybrid work
- Office
- Mentoring
- Senior level
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18h
Dividend Operations Associate
Broadridge —Edgewood, NY
- $26 - $32 an hour
- Email
- Office
- Analysis skills
- Continuous improvement
Regulator Reporting Senior Consultant
Deloitte —Jericho, NY
- $118,000 - $130,000 a year
- Full-time
- Computer Science
- Bachelor's degree
- Team management
Retirement/HSA Services Specialist
Flagstar Bank —Hicksville, NY
- $18.58 - $28.84 an hour
- Full-time
- Microsoft Word
- Microsoft Excel
- Office
- Disability insurance
- Health insurance
Member Services Representative Document Processing
Teachers Federal Credit Union —Hauppauge, NY
- $23 - $27 an hour
- Full-time
- Microsoft Word
- Background check
- Pass drug screening
- Dental insurance
- 401(k)
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New Business Consultant
Principal Financial Group —Melville, NY
- $30.58 - $40.96 an hour
- Full-time
- Mid-level
- Office
- Finance
3d
Deposit Operations Specialist
Servbank, sb Inc. —Melville, NY
- $18.50 - $23.47 an hour
- Writing skills
- Research
- Mid-level
Quick Apply
Items Processing Specialist
Dime Commercial Bank —Hauppauge, NY
- $55,000 - $60,000 a year
- Microsoft Word
- Microsoft Excel
- Office
Quick Apply
9d
Senior Fraud Specialist
Dime Commercial Bank —Hauppauge, NY
- $60,000 - $70,000 a year
- Microsoft Excel
- Microsoft Outlook
- 5 years
Quick Apply
Portfolio Management Specialist - Equipment Finance
Flagstar Bank —Hicksville, NY
- $18.28 - $29.12 an hour
- Full-time
- Mid-level
- Office
- High school diploma or GED
- Disability insurance
- Health insurance
3d
Associate Manager, Operations
SS&C Technologies —Stamford, CT
- Online Application
- Research
- Mid-level
- Finance
- Paid holidays
- Health insurance
Branch Compliance Senior Manager (Melville, NY - HYBRID)
Equitable —Melville, NY
- $102,000 - $120,000 a year
- Email
- Hybrid work
- 6 years
- Management
- Office
- Health insurance
- Dental insurance

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AVP, Fund Compliance - Mutual Funds

Ultimus Fund Solutions -
Hauppauge, NY

Quick Apply

Job Details

Full-time
$75,000 - $100,000 a year

Qualifications

Securities & Exchange Commission
Employee relationship building
Securities law compliance support experience
Securities law
Financial services
General management
Stakeholder relationship building

Full Job Description

SUMMARY
The AVP, Fund Compliance coordinates daily, monthly, and quarterly compliance workflows, including the implementation, monitoring, and testing of new and existing policies and procedures, as well as the maintenance of regulatory records for Ultimus Fund Solutions (UFS) clients.

KEY ACCOUNTABILITIES
FINANCIAL COMPLIANCE

Monitors fund compliance on a daily and monthly basis with consideration of investment detailed Prospectus, Statement of Additional Information, and Investment Company Act of 1940.
Monitors fund compliance with consideration to the quarterly and annual requirements of the Internal Revenue Code for qualifications as a regulated investment company.
Performs reviews of a subset of quarterly compliance reporting prepared by compliance associates.
Reviews the investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for new fund launches and existing clients.
Codes newly launched funds into the compliance system and performs ongoing testing of existing client funds functionality on compliance system.
Ensures compliance testing programs keep pace with market and regulatory evolution.
Provides advice and training on rules and regulations as it pertains to portfolio compliance under SEC, IRS, and internal regulations to clients and applicable personnel.

REGULATORY REPORTING

Coordinates efforts with the Financial Administration team for the development of regulatory compliance for reporting to clients, regulatory agencies, Board of Directors, and Financial Officers.

MANAGEMENT AND DEVELOPMENT

Assists in the development and maintenance of departmental procedures.

FUND AUDITS

Maintains, updates, and implements audit controls, as necessary.

PERSONNEL MANAGEMENT

Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.
Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.
Establishes team and individual goals for department.
Fosters performance of associates and the processes used by them; holds the associates accountable for their work.

WORKING RELATIONSHIPS

Acts as a liaison between UFS and external audit firms and regulatory agencies.
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used, as well as cross-training amongst departments.
Contact with Fund Accounting, Financial Administration, Relationship Management, and Legal departments regarding financial compliance activities.
Contact as needed with regulatory agencies and audit firms regarding general information, resolution of issues and inquiries or reporting requirements.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

Bachelor’s degree in business administration, finance, or related field.
7+ years of regulatory compliance experience.
Experience working within the financial services and mutual funds industry.
Experience working with SEC regulators.
3-5 years of management and leadership experience.
Equivalent education and experience will be considered.

KNOWLEDGE

Automated post-trade compliance system coding.
Investment Company Act of 1940.
SEC and IRS regulations.
Microsoft Office Suite.
Adobe Acrobat.

SKILLS AND ABILITIES

Aligns associates with company values and goals.
Plans and delegates the work of others.
Motivates and inspires others.
Assesses the performance of self and associates to make improvements or take corrective action.
Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
Troubleshoots issues utilizing creative and critical thinking skills.
Multitasking, analytical, and organizational skills.
Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
Demonstrates personal integrity, responsibility, and accountability.
Effectively uses resources such as time and information in conjunction with associates.
Participates in solving problems and making decisions.
Presents and expresses ideas and information, written and oral, clearly, and concisely.
Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.

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Refine Your Search

finance operations occupations jobs in bethpage, ny

AVP, Fund Compliance - Mutual Funds

Operations Generalist II

Associate Fund Compliance Administrator

Client Service Associate / Wealth Management Operations Specialist

Trade Settlement Analyst

Senior Manager, Investment Operations

Client Service Representative (Intermediate) – Banking Operations & Payments

Mortgage Operations Specialist

Investor Relations Transfers Specialist – Alternatives/Private Markets

Dividend Operations Associate

Regulator Reporting Senior Consultant

Retirement/HSA Services Specialist

Member Services Representative Document Processing

New Business Consultant

Deposit Operations Specialist

Items Processing Specialist

Senior Fraud Specialist

Portfolio Management Specialist - Equipment Finance

Associate Manager, Operations

Branch Compliance Senior Manager (Melville, NY - HYBRID)

I want to receive the latest job alert for finance operations occupations in bethpage, ny

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