• Director, US Markets Compliance Advisory,…

    TD Bank (New York, NY)
    …+ Experience in providing legal, regulatory or compliance advice to Markets sales and trading + Knowledge Corporate Investment Banking and Capital Markets * ... program supporting all corporate investment banking Functions including M&A, Debt and Equity Capital Markets. The Director Compliance TDS oversees/leads a… more
    TD Bank (08/02/25)
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  • Vice President - US Markets Investment Banking…

    TD Bank (New York, NY)
    …+ Experience in providing legal, regulatory or compliance advice to Markets sales and trading + Knowledge of Corporate Investment Banking and Capital Markets ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $185,000 USD TD is committed to providing fair… more
    TD Bank (06/18/25)
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  • Compliance Officer, Regulatory Relations…

    TD Bank (New York, NY)
    …various businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading , and prepare business personnel for meetings ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is committed to providing fair… more
    TD Bank (08/02/25)
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  • Senior Compliance Officer - Monitoring…

    TD Bank (New York, NY)
    …JD desirable but not required + Knowledge of operations, finance, regulatory reporting, sales and trading , and applicable rules and regulations, and the ability ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is committed to providing fair… more
    TD Bank (07/26/25)
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  • Vice President, Compliance - Monitoring…

    TD Bank (New York, NY)
    …JD desirable but not required + Knowledge of operations, finance, regulatory reporting, sales and trading , at a global financial institution. + Firm ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to providing fair… more
    TD Bank (07/26/25)
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  • Sr. Compliance Officer - Monitoring…

    TD Bank (New York, NY)
    …but not required + Knowledge of global financial institutions' operational, financial, sales and trading , and regulatory reporting activities and their ... 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… more
    TD Bank (06/21/25)
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  • Director, Compliance - Testing Team Lead,…

    TD Bank (New York, NY)
    …JD desirable but not required. + Knowledge of operations, finance, regulatory reporting, sales and trading , and applicable rules and regulations, and the ability ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more
    TD Bank (05/23/25)
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  • Broker-Dealer & Cash Equities Attorney - Vice…

    JPMorgan Chase (New York, NY)
    …broker-dealer cash equities business managers and registered representatives on issues involving equity research, sales and trading , broker-dealer regulatory ... legal and regulatory advice to the cash equities research, sales and trading businesses. You will work...and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions +… more
    JPMorgan Chase (06/11/25)
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  • Associate Director, Global Capital Markets…

    Scotiabank (New York, NY)
    …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. **What You'll… more
    Scotiabank (06/03/25)
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  • Manager, Trade Surveillance - Quality Assurance

    TD Bank (New York, NY)
    …with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $135,000 - $190,000 USD TD is...This incumbent will ensure that surveillance alerts related to trading activities of firm employees ( sales and… more
    TD Bank (05/22/25)
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