- TD Bank (New York, NY)
- …jurisdictions. Analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including ... firm will be considered. + Experience in providing legal, regulatory or compliance advice to Markets sales...offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join the trade… more
- Coinbase (Albany, NY)
- …(ie. job requirements):* * Minimum of 3+ years of relevant experience in traditional financial services , crypto, or the tech industry, with a focus on TMS/EDD ... onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a...team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory … more
- University of Rochester (Rochester, NY)
- …but not limited to Title IX, Clery Act, and FERPA. Strong understanding of regulatory compliance in academic, research and clinical settings and in federal ... risks across the University's operations, including academic, research, student services , athletics, and financial management. + Develop and execute… more
- TD Bank (New York, NY)
- …finance, regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is...to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries, audits, and exams **Education &… more
- Scotiabank (New York, NY)
- …sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives ... policies and procedures development, the provision of compliance training, compliance risk assessments, responding to regulatory inquiries, etc. + Strong… more
- Lincoln Financial (Albany, NY)
- …**Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure ... strong product compliance and filing results for the Retail Annuities business....to expedite state product approvals, to include negotiations with regulatory authorities, discussions with outside counsel and/or consulting firms… more
- TD Bank (New York, NY)
- …provides advice, guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing compliance initiatives ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair… more
- Mizuho Corporate Bank (New York, NY)
- … Crimes Compliance or related function at a globally diversified financial services organization. + Comprehensive knowledge of KYC, AML Transaction ... US subsidiary bank, Mizuho Bank (USA) and also provides compliance support services to Mizuho Americas LLC,...of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries… more
- TD Bank (New York, NY)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... can provide you more specific details for this role. **Line of Business:** Financial Crime Risk Management **Job Description:** The successful applicant will be part… more