• Compliance Risk Assessment Manager

    TD Bank (Fort Lauderdale, FL)
    …of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
    TD Bank (08/23/25)
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  • Supervisory Principal

    Citigroup (Miami, FL)
    …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
    Citigroup (08/28/25)
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