- TD Bank (Mount Laurel, NJ)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Wealth Remediation is responsible for expanding and managing regulatory oversight ... partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (Mount Laurel, NJ)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Wealth Business Management / Administration is a critical executive role ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (Mount Laurel, NJ)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Investment Product is responsible for formulating strategy that is required ... with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:**...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- SMBC (Jersey City, NJ)
- …the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified. This role will ... include conducting compliance risk assessments of certain US legal entities in...will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer; SMBC Group's wholesale… more
- TD Bank (Mount Laurel, NJ)
- …and facilitating the US Compliance Risk Assessment and reports up into the US Head of Compliance Programs + Supports the management of the Compliance ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- Guardian Life (Holmdel, NJ)
- …and accountability for delivering on commitments timely. **Reporting Relationships** As our Financial Compliance Analyst, you will report to the Head of ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- Zurich NA (Parsippany, NJ)
- …Energy Technical Director to join our Specialties Energy SBU. This position reports to the Head of Energy and can be based in one of our Zurich offices with business ... more years of experience in the Underwriting, Market Facing, Broker , Carrier or Risk Management area within the Commercial...location, role, skill set, and level of experience. In compliance with local laws, Zurich commits to providing a… more