- 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:** $150,000 - $185,000 USD TD is committed to providing fair ... We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The...our team in NYC. The ideal candidate must have compliance advisory experience with background in OTC and Exchange-Traded… more
- TD Bank (New York, NY)
- …Strategy & Support **Job Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more resilient and scalable compliance ... our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level....day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new… more
- Coinbase (Albany, NY)
- …connection, and alignment. Attendance is expected and fully supported. The CX Compliance team is essential in ensuring that our global CX Compliance ... comply with regulatory requirements, and consistently deliver high-quality resolutions. As a Compliance Lead Analyst, Compliance Operations within the CX … more
- Regeneron Pharmaceuticals (Troy, NY)
- The Director, Global Procurement Compliance will be responsible for directing a team of Compliance Managers and Specialists that support and maintain all cGMP ... compliance aspects of procurement operations. In addition to leading the Compliance team this individual will be a member of the Global Procurement Direct… more
- NBC Universal (New York, NY)
- …to be completed during 2025. This is a Versant role. The Role: The Counsel, Compliance will play a pivotal role in shaping and implementing the company's ethics and ... compliance program. This is a high-impact role responsible for...responsible for partnering across the business to advise on compliance risks, support key compliance initiatives, and… more
- American Express (New York, NY)
- …of American Express. **How will you make an impact in this role?** **Global Compliance and Ethics (GCE), is responsible for establishing and maintaining a robust ... compliance program that ensures American Express is adhering to...a culture of integrity and effective second line independent Compliance oversight.** The Director, Compliance Risk Assessment… more
- City of New York (New York, NY)
- …Reporting to the Deputy Director of the Transactions Monitoring Unit (TMU) in the Compliance Department, the Senior Compliance Analyst will develop a program to ... division procurement of contracts, as well. Monitoring includes ensuring compliance with all laws and regulations as well as...as well as agency procedures. In addition, the Senior Compliance Analyst may be assigned to specialized compliance… more
- American Express (New York, NY)
- …of American Express. **How will you make an impact in this role?** **Global Compliance and Ethics (GCE), is responsible for establishing and maintaining a robust ... compliance program that ensures American Express is adhering to...a culture of integrity and effective second line independent Compliance oversight.** The Manager, Compliance Risk Assessment… more
- YAI (Manhattan, NY)
- …Key/Essential Functions & Responsibilities + Implements the organization's compliance program under the supervision of the Assistant Director ... of Corporate Compliance and in coordination with program staff. + Maintains...and checklists for use in internal audits to assess compliance with applicable regulations and identify areas of concern… more