• Senior Internal Controls Analyst

    CHS Inc. (Albany, NY)
    …and presentation skills. An ideal candidate must have the ability to lead others, successfully manage stakeholders and influence those within key areas of ... unit stakeholders to develop a thorough understanding of the business, relevant financial reporting risks and core key processes. + Support the timely creation of… more
    CHS Inc. (09/25/25)
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  • Director, Trade Surveillance - Data Quality

    TD Bank (New York, NY)
    …**Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, the ... Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies.… more
    TD Bank (09/21/25)
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  • Financial Due Diligence Manager

    Grant Thornton (New York, NY)
    …related license/certification preferred + Strong current knowledge in US GAAP, GAAS, SEC Reporting , transaction advisory services or mergers and acquisitions ... + Manage client expectations concerning timing, progress, deliverables, deadlines, and lead change efforts effectively. + Develop and maintain strong client… more
    Grant Thornton (09/16/25)
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  • Senior Compliance Analyst - Park Avenue Securities

    Guardian Life (Albany, NY)
    …FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the ... Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a...restrictions on travel and extended periods away from home. ** Reporting Relationships** As our Compliance Analyst, you will report… more
    Guardian Life (09/10/25)
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  • Compliance Analyst

    Guardian Life (New York, NY)
    …help identify and improve Compliance operational efficiencies. + Participate and help lead data analytic initiatives and thinking to improve the overall compliance ... **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a familiarity of state insurance… more
    Guardian Life (08/27/25)
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