- Wellington (New York, NY)
- …with those of our clients. **About the Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments Compliance ... the strategic implementation of IT solutions to streamline the compliance framework around conflicts and non-public information. This position...a plus + Experience working at a large investment manager with diverse business lines or in a capacity… more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... details for this role. **Job Description:** This Director - Compliance role will be a key member of the...abuse and manipulation. + Advanced understanding of testing or audit concepts and principles as well as control analysis… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank ... US Compliance , we're on a mission to build a more...objectives. + Provides responses to regulatory agencies and Internal Audit . Interacts directly and independently with auditors and regulatory… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS...behaviors and market participants. + Knowledge of testing or audit concepts and principles, as well as control analysis… more
- S&P Global (New York, NY)
- …thinker who can develop innovative training approaches that enhance learning and compliance outcomes. + Detail-oriented project manager able to balance competing ... are seeking a motivated professional to join the Ratings Compliance & Risk team as a Compliance ...accountability. + Provide clear, concise updates to senior executives, audit , and the board, demonstrating strategic insight and operational… more
- TD Bank (New York, NY)
- …& Artificial Intelligence **Job Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more resilient and scalable ... compliance risk management function. As part of our team,...response to periodic examinations by regulatory agencies and internal audit , ad-hoc requests related to the CRA LR, business… more
- Ankura (Lexington, NY)
- …will be joining a team of industry experts with backgrounds in compliance , regulatory, legal, audit , operations, nursing, pharmacy, medical science, economics, ... on driving value to Life Sciences clients and external counsel through compliance , disputes, investigations and advisory services. The position has tremendous growth… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US...abuse and manipulation. + Advanced understanding of testing or audit concepts and principles as well as control analysis… more
- Institute of Electrical and Electronics Engineers (New York, NY)
- …Assist the Deputy General Counsel for Compliance and the Senior Corporate Compliance Manager with ensuring an effective sanctions compliance program ... Experience * 0-3 years Relevant experience in legal, ethics and compliance or internal audit in an international company, law firm, not-for-profit or government… more