- TD Bank (New York, NY)
- …at peer firm or regulator is preferred + Relevant professional designations such as FINRA Certified Compliance Officer Program + Basic knowledge of Equities, ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $180,000 USD TD is...for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President to join… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... line oversight + Develop, oversee, and provide expert business and regulatory compliance functional knowledge. + Develop and present Oversight program materials to… more
- HUB International (New York, NY)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a ... 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)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- Bloomberg (New York, NY)
- Compliance - US Bank Secrecy Act (BSA) Officer - New York Location New York Business Area Legal, Compliance , and Risk Ref # 10047869 **Description & ... compliance programs for the Americas. The BSA AML Officer will be responsible for ensuring compliance ...(experience with AML /BSA programs in US broker-dealers) * FINRA Series 7 and 24 registrations * Strong presentation… more
- Insight Global (New York, NY)
- Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and ... other investor/third party materials and communications. The Compliance Officer will serve as the primary...and International regulatory standards * Analyze marketing material for compliance with regulatory standards including, SEC, FINRA … more
- PNC (New York, NY)
- …an opportunity to contribute to the company's success. As a Bank Risk Investment Officer within PNC's Market Risk Oversite organization, you will be based in a ... Cross-Functional Collaboration: Work closely with Front Office, Finance, IT, Legal, Compliance , and other stakeholders to ensure integrated risk management. Daily… more
- MUFG (New York, NY)
- …responsible for: + Maintaining and servicing existing portfolio as Marketing Officer ("MO"). + Supporting corporate banking business operations and initiating ... related to the team. + Assist with duties or inquiries related to compliance matters. Ensure adherence to all bank policies and procedures related to regulatory… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking a Credit Officer to cover Commercial Real Estate. + Review and challenge of credit applications ... Credit Department. + Provide feedback and guidance, as necessary, to ensure compliance with internal policies and procedures standards. + Monitor and supervise… more
- SMBC (New York, NY)
- …to its employees. **Role Description** SMBC is seeking a Vice President / Credit Officer to cover Middle Market LBO. + Review and challenge of credit applications ... Provide feedback and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor and supervise problem… more