- 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 ... you more specific details for this role. **Job Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance … more
- SMBC (New York, NY)
- …portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division ... Second Lines of Defense regarding a broad range of compliance and regulatory issues and works hand-in-hand with business/function...broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7, 24, 79 a plus. SMBC's… more
- Banco Popular Puerto Rico (New York, NY)
- …2025 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior Compliance Officer II - Regulatory US B Regulatory Compliance We are ... a Senior Compliance Officer to join our Compliance Team. The role may be based in New...or related field is required. + CRCM designation or JD is preferred. + Minimum 7 - 10 years… 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 ... **Preferred Qualifications:** We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance ...sharing best practices and insights with colleagues globally; + JD a plus **Depth & Scope:** + Works independently… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… 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 ... are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. This role is...Bachelor's degree required; advanced degree or professional certification (eg, JD , MBA, CAMS, CRCM) is a strong plus. +… more
- New York State Civil Service (Albany, NY)
- …of Title Virtual Currency Senior Analyst (Financial Services Specialist 2 ( Compliance ), SG-23) Occupational Category Financial, Accounting, Auditing Salary Grade 23 ... * Conducts risk-based assessments of applicants' and Licensees' governance, compliance , and internal audit controls; BSA/AML program; operational, regulatory...in one (1) of the related fields or a JD may substitute for one (1) year of specialized… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and… more
- City of New York (New York, NY)
- …The Problems You'll Solve The incumbent will report to the Deputy Director, Compliance and with wide latitude for independent judgment will perform the following job ... with the Deputy Director to ensure agency accountability and compliance with New York City's Administrative Code 6-129. -...hoc reports and analyses as needed. PREFERRED SKILLS - JD and admission to practice law in New York… more
- Coinbase (Albany, NY)
- …and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional Product Group to develop effective ... compliance programs to meet Coinbase's regulatory obligations across the...Experience supporting a retail (fully disclosed) introducing broker. * JD , Series 7, Series 24. * Experience working at… more