- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team (s) of specialists/professionals providing advice, ... in person in accordance with FINRA RULE 3110 + Lead branch inspections and execute independently all key steps...part of the pilot program + Collaborate with the Compliance Testing Team , as needed, on monitoring… more
- Coinbase (Albany, NY)
- …foster collaboration, connection, and alignment. Attendance is expected and fully supported. The CX Compliance team is essential in ensuring that our global CX ... regulatory requirements, and consistently deliver high-quality resolutions. As a Compliance Lead Analyst, Compliance Operations... Analyst, Compliance Operations within the CX Compliance team , you will be responsible for… more
- GE Vernova (New York, NY)
- **Job Description Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE ... Vernova's Financial Services ("FS") business to manage FS' compliance program. The Deputy Compliance Leader - Financial Services ("Deputy Compliance … more
- JPMorgan Chase (New York, NY)
- …an independent second line of defense and challenge function in the equity derivatives compliance team , focusing on the Sales and Trading businesses within the ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and procedures and industry best practices. + Assist the team in identifying and escalating issues through formal escalation… more
- Coinbase (Albany, NY)
- …foster collaboration, connection, and alignment. Attendance is expected and fully supported. The CX Compliance team is essential in ensuring that our global CX ... Analyst, Compliance TMS Operations within the CX Compliance team , you will be responsible for...end-to-end Transaction Monitoring investigations for customers (individuals/entities) that may lead to drafting and filing a SAR. You will… more
- TD Bank (New York, NY)
- …the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most ... oversight, and support for central elements of the US Compliance Monitoring and Testing Program, including:** + Lead...Compliance Senior Executive Team (and related Compliance Sub-Committees) + Assists Compliance team… more
- TD Bank (New York, NY)
- …the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most ... compliance risk management function. As part of our team , you'll play a key role in reshaping ...technologies or operating models + Works autonomously as the leader of the team and assists with… more
- TD Bank (New York, NY)
- …the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most ... in various products **Shareholder Accountabilities:** + Updates business line policies and Compliance Team procedures + Analyzes Compliance requirements and… more
- TD Bank (New York, NY)
- …the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most ... initiatives/guidance as appropriate **Shareholder Accountabilities:** + Actively assists in developing Compliance Team procedures + Facilitates the periodic … more
- TD Bank (New York, NY)
- …the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most ... industry standards. **Department Overview:** The TD Bank Fair Banking Compliance Team is seeking a skilled professional...+ Works autonomously and accountable for acting as a lead within a specialized business management function and may… more