- TD Bank (New York, NY)
- …or regulator is preferred + Relevant professional designations such as FINRA Certified Compliance Officer Program + Basic knowledge of Equities, Fixed Income and ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $150,000 - $180,000...is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to ... and alert escalations * Co-ordinate requests to and from, business ( Compliance ) partners and coordinate tracking and...of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and… more
- Saratoga Casino Hotel (Saratoga Springs, NY)
- …Saratoga Casino Hotel welcomes you to apply! Your Role: Our successful Surveillance Officers promote outstanding relations with all guests and fellow Team Members ... Role: + At least 18 years of age + Previous experience in casino surveillance preferred. + Excellent written and verbal communication skills required. + Ability to… more
- TD Bank (New York, NY)
- …Markets business , by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance 's ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $150,000 - $250,000...financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer -CIB **Reports to:** Director, Financial Crime Risk Oversight, ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $115,000...risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the… more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… more
- SMBC (New York, NY)
- …Audit findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with ... Risk Assessment + Communications and Transaction Surveillance + Employee Compliance (ie, Registrations, Outside Business Activities and Personal Account… more
- TD Bank (New York, NY)
- …and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core ... : New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to… more
- New York Power Authority (Astoria, NY)
- Security Officer Location: Astoria, US **Summary** Involves developing, implementing, and monitoring environmental and safety programs and policies to ensure ... compliance with federal, state, and local environmental, health, and...ensure a safe and sustainable workplace. Monitors work sites, surveillance , inspections, and security enforcement for NYPA. Ensures distribution… more
- CIBC (New York, NY)
- …issues and material incidents of non- compliance to the relevant Global Markets business head, senior Compliance officer and, if appropriate, head of ... as well as detecting when violations do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise… more