- TD Bank (New York, NY)
- …ensuring alignment with strategic objectives + Strong knowledge of regulatory frameworks, including SEC , FINRA , OCC and other relevant bodies + FINRA ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At... **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- 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
- 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
- Marex (New York, NY)
- …as assigned. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York....opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique… more
- BMO Financial Group (New York, NY)
- …its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone ... 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
- Raymond James Financial, Inc. (NY)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an assigned compliance function.… more
- Raymond James Financial, Inc. (NY)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- 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 (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 (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
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