- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a ... Trading businesses by acting as a team leader for Markets Compliance . **What You'll Do** + Acting.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... individuals within the various Marex Business lines from a Compliance perspective. Marex has unique access across markets...for broker-dealer Regulatory Reporting process. + Carry out assigned compliance testing . + Coordinate and provide … 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 ... you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units in adhering… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, ... risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the...Conduct targeted AML/OFAC training, as appropriate. + Conduct periodic testing of AML functions as mandated by the Periodic… more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- Capital One (New York, NY)
- Treasury Management Sales Officer (TMSO) - NJ/NY & Virtual Banking The Treasury Management Sales Officer (TMSO) plays a critical role in driving growth and ... with businesses in the $2mm-$200mm space within their assigned market . TMSOs should be able to articulate cash cycle...maintains strong relationships with Business Bankers in their assigned markets - _New Jersey, New York, & Virtual Banking_… more
- TD Bank (New York, NY)
- …by Corporate Functions across TD. This position will primarily support Regulatory Compliance Management and Risk and Control Self-Assessments for US Enterprise Risk ... Risk Management and the Office of the Chief Risk Officer . They should have and should have the ability...risks, and controls as well as performing or challenging testing of controls. + Highly seasoned professional role requiring… more
- Wells Fargo (New York, NY)
- …Business Controls and COO teams as well as other support functions (eg, Compliance , Testing , Audit, Risk, Operations, Technology, Legal, and Human Resources). ... are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Citigroup (Getzville, NY)
- The Risk Reporting Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering ... Internal Management, Regulators, Auditors, etc. that detail risks inherent in Credit, Market , Operational or other Risk Portfolios. Reporting can cover a variety of… more
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