• Compliance Officer, Regulatory Relations Core…

    TD Bank (New York, NY)
    …by regulators covering various businesses, functions and topics, including operations, finance , regulatory reporting, and sales and trading, and prepare business ... a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work independently. +… more
    TD Bank (09/21/25)
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  • Director, Compliance - Branch Inspections Team…

    TD Bank (New York, NY)
    …degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC, FINRA and ... other relevant regulatory requirements. + Strong Knowledge of operations, finance , regulatory reporting, sales and trading, and applicable rules and regulations, and… more
    TD Bank (09/21/25)
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  • Compliance Officer Senior-Investment Advisory

    City National Bank (New York, NY)
    …with business areas, in addition to other support functions ( Finance , Technology). * Monitor legislative/regulatory/enforcement activity and trends for impacts ... Management Compliance roles, experience with a financial institution such as a broker/ dealer and/or registered investment adviser/ and the OCC. * For Wealth… more
    City National Bank (09/13/25)
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