- 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 ... Compliance program as needed. The VP Compliance TDS oversees/leads a team(s) of...technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding of financial product… more
- TD Bank (New York, NY)
- …The TD Securities US Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP ... of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and...preferred + Relevant professional designations such as FINRA Certified Compliance Officer Program + Basic knowledge of… more
- Wells Fargo (New York, NY)
- …initiatives by providing support and awareness of risks and mitigating control solutions. The Vice President of Trade Surveillance Governance sits within the ... us! **About this role:** Wells Fargo is seeking a Vice President to assist in key strategic...compliance , legal, and IT teams to ensure effective surveillance coverage. + Attend team meetings and contribute to… more
- CIBC (New York, NY)
- …incidents of non- compliance to the relevant Global Markets business head, senior Compliance officer and, if appropriate, head of US Global Markets for ... detecting when violations do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on behalf of Global… more