- JPMorgan Chase (Pittsford, NY)
- …Responsibilities:** + Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies. + Ensure team members ... & Wealth Management division, you'll be at the forefront of global investment management, providing innovative solutions in equities, fixed income, real estate,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... **Job Description:** We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. This role is critical in reviewing,… more
- BlackRock (New York, NY)
- …+ 6-10 years of relevant experience from a legal and compliance department of a leading investment management/financial services organization. ... as a member of BlackRock's 1940 Act Registered Fund Compliance team, focusing on multiple product lines including mutual...This mission would not be possible without our smartest investment - the one we make in our employees.… more
- TD Bank (New York, NY)
- …within a global financial institution, preferably in a control room or compliance function + Deep understanding of investment banking products, services, ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- City of New York (New York, NY)
- …has committed $5 billion in new capital funding, bringing the 10-year planned investment in housing to $22 billion the largest in the city's history. This ... investment , coupled with a commitment to reduce administrative and...for equitable growth. Your Team The Executive Director of Compliance will play a key policy and implementation role… more
- Mizuho Corporate Bank (New York, NY)
- …is a front office function serving Japanese corporate clients in the US The Compliance and Risk Management Unit, part of the Planning Team within ACBD1, is ... responsible for a wide range of compliance matters and risk management initiatives. The primary responsibilities...Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada,… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...the Sales and Trading businesses within the Corporate & Investment Bank line of business (LOB). You will be… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of ... the US Compliance Examination Plan established to ensure adherence with broker-dealer...Capital Markets line of business, which includes global markets, investment banking and corporate banking services provided through the… more
- Bank of America (New York, NY)
- Director; Compliance and Operational Risk Manager New York, New York **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Director-- Compliance -and-Operational-Risk-Manager\_25034452) **Job Description:** At Bank of America, we are… more
- KeyBank (Amherst, NY)
- …wealth management products and services (eg - trust, private banking, securities/ investment management) as well trust/fiduciary related compliance , operations, ... sponsored certifications in wealth management, trust, and/or fiduciary risk management and/or compliance (eg - CFIRS (Certified Fiduciary & Investment Risk… more