- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities / Transactions Audits (Hybrid) Capital One's Audit function is a dedicated ... of the Audit team, the candidate will focus on operational and compliance audits, including operations of investment ( securities and transactions).… more
- TD Bank (New York, NY)
- …and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- Guardian Life (Albany, NY)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...of base pay for the primary location of the position . The salary for this position ultimately… more
- Lumen (Albany, NY)
- …assist with Annual Shareholder Meeting. + Maintain policies and procedures relating to securities law compliance and disclosure matters. + Advise and assist ... function to play in supporting the SVP in managing Lumen's Governance and Securities . The ideal candidate will be responsible for ensuring regulatory compliance … 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 ... details for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements to existing… more
- Lincoln Financial (Albany, NY)
- …accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts ... with internal/external stakeholders to ensure transparency and consistency of compliance actions. ADDITIONAL POSITION RESPONSIBILITIES + Carries out… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- KeyBank (NY)
- …equivalent experience + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes regulatory requirements. Support the AML Enterprise Team… more
- KeyBank (NY)
- …be considered + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + Ability ... and line of business partnerships to identify and manage compliance risks with assigned regulatory topics. Support the organization...KeyCorp's return to office policy). COMPENSATION AND BENEFITS This position is eligible to earn a base salary in… more
- Unity Technologies (New York, NY)
- **New York, NY, USA** **Senior Managing Counsel, Corporate and Securities ** Location New York, NY, USA Department Legal Requisition ID JOBREQ-2514372 **Role ... description** **The opportunity** Unity is looking for a Senior Counsel, Corporate and Securities to join its Legal team. In this role, you will be responsible for… more
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