• Head of Business Control & Governance - Private…

    Neuberger Berman (New York, NY)
    …lens + Partner with various business stakeholders to coordinate and manage internal / external audits and regulatory exams + Monitor industry and regulatory ... financial services, with significant experience in business controls, risk management, audit , or compliance within Wealth Management, Private Banking, or a similar… more
    Neuberger Berman (09/09/25)
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  • Director, Compliance - Regulatory Initiatives, TD…

    TD Bank (New York, NY)
    …senior/executive management. + Key contact for business management, regulators and external/ internal auditors, dealing with a broad range of issues including ... for detecting market abuse and manipulation. + Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation. +… more
    TD Bank (09/07/25)
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  • VP - Compliance Monitoring Program, TD Securities

    TD Bank (New York, NY)
    …a functional area + Key contact for business management, regulators and external/ internal auditors, dealing with non-routine information + Focuses on short to mid- ... for detecting market abuse and manipulation. + Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation. +… more
    TD Bank (09/07/25)
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