- Guardian Life (New York, NY)
- …best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie, ... Do you want to be part of a collaborative Compliance Legal Team? As a Data Analyst in ...services offered by Guardian and its subsidiaries, including affiliated broker dealers, comply with applicable laws, regulations, and standards.… more
- BMO Financial Group (New York, NY)
- …in 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 ... 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:** $75,000 - $95,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance ...+ 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and… more
- Corning Incorporated (Corning, NY)
- Manager, Auto MCE LS Regional Trade Compliance **Date:** Aug 18, 2025 **Location:** Corning, NY, US, 14831Charlotte, NC, US, 28216 **Company:** Corning Requisition ... of Position:** This position will lead the Regional Trade Compliance organization for a specific Corning Business. This individual..._Required_ + Bachelor's Degree + US Customs Brokerage License Broker + Minimum 8 years of experience in Trade… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...or more years of experience with a registered US broker dealer or regulator. + JD desirable but not… more
- Raymond James Financial, Inc. (New York, NY)
- …education and experience to manage and oversee the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates ... and division of responsibilities within the Compliance department. Leads major projects, programs or processes with significant business impact involving… more
- Veralto (NY)
- …development opportunities + Health Benefits Reporting to the Director of Global Trade Compliance , the Trade Compliance Analyst will maintain trade compliance ... like:** + Support day-to-day operational activities, including complying with trade compliance data requests + Providing Customs clearance facilitation, and tracking… more
- Lincoln Financial (Albany, NY)
- …**The Role at a Glance** We are excited to bring on an accomplished ** Compliance Consultant** to our Retirement Plan Services/Product team to work in our Fort Wayne ... resource to applicable internal/external stakeholders and will execute on more complex compliance plans, reviews, and risk analyses for assigned area. **What you'll… more
- Lincoln Financial (Albany, NY)
- …**Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure ... strong product compliance and filing results for the Retail Annuities business....put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial.… more
- Cardinal Health (Albany, NY)
- …- Classification will collaborate with multiple teams and departments to ensure compliance and optimize trade operations. Cross training will be required to provide ... and special program eligibility assessments, including documentation review and compliance verification. + Collaborate with sourcing, procurement, engineering, and… more