• Senior Compliance Analyst - Park Avenue…

    Guardian Life (Albany, NY)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations… more
    Guardian Life (06/14/25)
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  • Head of Distribution US Wealth (US)

    TD Bank (New York, NY)
    … and regulatory issues related to US Securities and financial markets (OCC, SEC , FINRA , and State Securities Regulators) + Expert human relations skills ... areas + Represents the business on all Risk Management, Compliance , AML and Audit related initiatives, reviews and in...Management leadership experience with a proven track record + FINRA Series 7, 24 (or equivalent - Series 9,… more
    TD Bank (07/30/25)
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  • Director, US Markets Compliance Advisory,…

    TD Bank (New York, NY)
    …laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA , SEC , CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is...Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York… more
    TD Bank (08/02/25)
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  • Director, Product Compliance Sr. Officer…

    Citigroup (New York, NY)
    …Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. + Providing ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities...the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to… more
    Citigroup (07/26/25)
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  • Senior Compliance Officer - Surveillance,…

    TD Bank (New York, NY)
    …Help to ensure TDS meets regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA , FCA, CIRO, etc.) and aligns with internal ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135.000 USD TD is...details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance … more
    TD Bank (07/22/25)
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  • IT Business Analyst - Compliance Systems

    Mizuho Corporate Bank (New York, NY)
    …technology. Deep understanding of financial regulations and industry standards ( SEC , FINRA , GDPR, etc.) Key Outcomes: + Improved compliance monitoring and ... Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge...will bridge business needs and IT solutions within the compliance field. This role involves analyzing requirements, designing technology… more
    Mizuho Corporate Bank (06/25/25)
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  • Vice President - US Markets Investment Banking…

    TD Bank (New York, NY)
    …laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA , SEC , CFTC, NYSE, and OCC. + Excellent oral and written ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $185,000 USD TD is...We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The… more
    TD Bank (06/18/25)
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  • Senior Compliance Officer - US Markets…

    TD Bank (New York, NY)
    …securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , CFTC, NYSE, FED and OCC. + Excellent oral and written ... 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… more
    TD Bank (06/07/25)
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  • Manager, Compliance Testing

    Scotiabank (New York, NY)
    …or commercial bank or institutional broker-dealer is preferred. + Familiarity with applicable SEC , FINRA , CFTC, NFA, Federal Reserve and state banking rules ... Manager, Compliance Testing **Requisition ID:** 223397 **Salary Range:** 90,000.00...**Overview** Contributes to the overall success of the GBM&T Compliance Department in the US ensuring specific individual goals,… more
    Scotiabank (05/31/25)
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  • Director, Compliance - Conflicts Manager,…

    TD Bank (New York, NY)
    …+ Deep understanding of investment banking products, services, and regulatory frameworks (eg, FINRA , SEC , MiFID II) + Demonstrated success in building and ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is...experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing… more
    TD Bank (05/19/25)
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