- TD Bank (New York, NY)
- …for this role. **Job Description:** TD Securities Compliance team is seeking a Director -level candidate to lead the Surveillance Data Quality Team. This is a global ... Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies.… more
- Mastercard (Harrison, NY)
- …potential._ **Title and Summary** Manager, Technical Accounting Overview: The Manager, Technical Accounting reports to Director , Technical Accounting and ... complex accounting issues and assists in the review of reporting deliverables to assure compliance with SEC ...Assist with discussions and provide specific recommendations to VP, Technical Accounting - Assist in special requests from Senior… more
- TD Bank (New York, NY)
- …effectively and is also fit for purpose. The role reports to the Director , Global Markets Supervision (Electronic Trading), and will provide primary coverage over US ... is responsible to provide the leadership team with information, reporting and support to ensure Trading operational risks are...controls to address regulatory and best practice requirements (eg SEC Rule 15c3-5, NI 23-103, MiFID RTS6). + Present… more
- Scotiabank (New York, NY)
- …to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer and Futures related regulations, including cross-border ... get submitted to the Head of GBM&T Compliance Testing, Director of Swap Dealer and Derivatives Compliance Operations &...to create a more diverse and efficient testing and reporting experience. **What You'll Bring** + 5-7 years of… more
- Evolent (Albany, NY)
- …management of prior authorization and financial scope within Evolent Specialty Services. Reporting to the Director , Clinical Informatics, this role is ... work is achieved through collaboration across the clinical, operations, product and technical teams. **What You Will Be Doing:** This position requires strong… more
- The Research Foundation for SUNY at the University at Albany (Albany, NY)
- …Careers Posted On: Wed Feb 19 2025 Job Description: Description of Duties: Reporting to the Director , the Senior Research Security Administrator (Senior RSA) ... including but not limited to export controlled software and technical information, confidential commercial information, personal identifying information collected or… more
- KeyBank (NY)
- …with financial crimes regulatory requirements. Support the AML Enterprise Team Director with reporting , project tracking, and administrative matters. Perform ... as directed by the AML Enterprise Team Compliance Manager and the Team Director . **ESSENTIAL JOB FUNCTIONS** + Facilitate audit and other requests and coordinate… more
- TD Bank (New York, NY)
- …Front Office Technology on surveillance data quality issues. Support the Data Quality Director in reporting on data quality issues. The Senior Compliance Office ... Data Governance & Quality Strategy: Assist the Data Quality Director in the development and implementation of a robust...regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns… more
- Capital One (New York, NY)
- …Commercial Bank Capital Markets **Capital Markets | Head of Product | Senior Director ** The Capital Markets Group is a high growth business within Capital One's ... trades and transactions in a well-managed and compliant manner. Reporting to Chief Product Officer of the Commercial Bank...of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA) and Swap Dealer (CFTC / NFA)… more