- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …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 ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- TD Bank (New York, NY)
- …Description:** We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities . This role is critical in reviewing, ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...resolve potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $190,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer -Manulife Investment Management Private Markets Registered Funds and CQS ... bonds), and equities. Addition to reporting to the Global Chief Compliance Officer -Manulife Investment Management Private Markets and Manulife General… more
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer -Manulife Investment Management Private Markets Registered Funds and CQS ... bonds), and equities. Addition to reporting to the Global Chief Compliance Officer -Manulife Investment Management Private Markets and Manulife General… more
- Marex (New York, NY)
- … Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate bonds, ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior ... leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with...and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act… more
- KeyBank (Amherst, NY)
- …of wealth management related (eg - trust/fiduciary, asset management, private banking, securities , etc.) compliance , risk management, and/or internal or external ... wealth management products and services (eg - trust, private banking, securities /investment management) as well as trust/fiduciary related compliance ,… more