- CIBC (New York, NY)
- … with federal and self-regulatory organization (SRO) rules and regulations. The position supports overall compliance through executing testing programs designed ... to evaluate the design and effectiveness of business controls in meeting regulatory compliance . This position primarily supports the US Capital Markets line of… more
- TD Bank (New York, NY)
- …of training program for front office personnel and relevant control personnel. ** Position Requirements** + 5-7+ years of compliance advisory experience. Similar ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...(i) public and private offerings of equity and debt securities . + Assist in the development and build out… more
- HUB International (New York, NY)
- …Compliance and Risk Officer, will be a highly visible, senior leadership position , reporting directly into the Global/Executive Chief Compliance and Risk ... in mergers and acquisitions. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This … more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain...handling, and Market Access. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more
- KeyBank (Amherst, NY)
- …wealth management products and services (eg - trust, private banking, securities /investment management) as well trust/fiduciary related compliance , operations, ... Road, Brooklyn Ohio **About the Job** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the… more
- Guardian Life (New York, NY)
- …and securities regulations. + Support the development of the compliance team's data analytics abilities by promoting collaboration and identifying opportunities ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …regulations, including Reg B, Reg E, FCRA, CRA, UDAAP, GLBA; familiarity with securities regulations a plus. + Experience in compliance monitoring, testing, and ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...regulations, and industry standards, as it applies to Banking, Securities , Insurance, Prudential, Finance, HR, etc. + Experience with… more