• Deputy to the US Head of Compliance…

    TD Bank (New York, NY)
    …participates in routine monitoring plan meetings. The Deputy supports the US Head of Compliance Programs and Chief Compliance Officer (CCO) in ensuring the ... regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and… more
    TD Bank (11/22/25)
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  • Data Quality & Issues Management Lead, Assistant…

    MUFG (New York, NY)
    …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls...place + Assist Data Management lead and the Data Officer in Sr Management communication and reporting to the… more
    MUFG (09/23/25)
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  • Director, Regulatory Supervision

    CIBC (New York, NY)
    …incidents of non- compliance to the relevant Global Markets business head, senior Compliance officer and, if appropriate, head of US Global Markets for ... + Supervise and conduct surveillance of the US registered broker - dealer securities trading products, as well as...5+ years' experience in handling securities and OTC derivative/swap compliance issues gained at an investment dealer ,… more
    CIBC (10/15/25)
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