• Vice President, US Markets Equities…

    TD Bank (New York, NY)
    …of compliance with firm policies for covered business areas + Conduct compliance risk assessments to ensure effective business control framework + Analyze ... alternative trading systems and market structure preferred + Significant experience in providing legal , regulatory or compliance advice to Equity Sales & Trading… more
    TD Bank (08/09/25)
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  • Director Of Investigations And Compliance

    City of New York (New York, NY)
    …risk , and risk mitigation recommendations. - Collaborate with HR, Legal , and other departments to ensure compliance -driven, comprehensive, and practical ... environment, values diversity and respects the dignity of all employees - Provide management support and guidance. The Director of Investigations and Compliance … more
    City of New York (08/21/25)
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  • Compliance Analyst

    Barnes & Noble (New York, NY)
    …by Director. * Generate and review product, import, vendor and similar reports for compliance risk assessment daily or weekly at the direction of Director. * ... Title: Compliance Analyst Category: Legal EmploymentType: Full-Time...data and documentation with a proactive approach to assessing risk . The Compliance Analyst will document and… more
    Barnes & Noble (06/25/25)
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  • Senior Manager, Program Strategy & Resource…

    TD Bank (New York, NY)
    …Bank US Compliance , we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key ... Skills:** + **Bachelor's degree in Business, Finance, Economics, Mathematics, Risk Management , Legal , or related...or related field.** + **7+ years of experience in compliance , business operations, risk management ,… more
    TD Bank (08/26/25)
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  • Vice President, 1940 Act Registered Fund…

    BlackRock (New York, NY)
    …+ 6-10 years of relevant experience from a legal and compliance department of a leading investment management /financial services organization. + Experience ... and actively managed products. This individual will be able to effectively manage compliance risk and help ensure compliance with regulatory requirements… more
    BlackRock (08/21/25)
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  • Senior Manager Compliance Operations

    Coinbase (Albany, NY)
    …the execution of operational OKRs, KPIs and initiatives. * In partnership with Compliance , Legal , Program Management , and other operational support partners ... is expected and fully supported. As the Senior Manager, Compliance EDD Operations at Coinbase, you'll lead the charge...senior leadership. * Working knowledge of laws, regulations, and risk management practices for financial services. *… more
    Coinbase (08/12/25)
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  • Vice President, Sponsors Portfolio…

    Wells Fargo (New York, NY)
    …will partner with Financial Sponsors Group, Leverage Underwriting, Industry Coverage and Risk Management to oversee execution of credit related functions and ... + Lead coordination and execution of loan booking, closing, legal documentation and compliance requirements + Partner...and present portfolio updates as needed to senior leadership, risk management and coverage partners. + Partner… more
    Wells Fargo (08/22/25)
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  • Chief Compliance Officer

    City of New York (New York, NY)
    …and federal regulating agencies and government authorities, as it pertains to Audit and Risk Management . - Coordinate NYC Aging leadership to formally respond to ... seeks a highly motivated Senior manager with broad-based experience in compliance , internal and external audit, financial reporting and programmatic fiscal processes… more
    City of New York (06/14/25)
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  • Vice President, Portfolio Management (Upper…

    KeyBank (Syracuse, NY)
    … risk , and ensuring a favorable experience for the client. + Effective Risk Management including Loan Documentation (experienced level) ◦ Able to effectively ... VP, Portfolio Management is responsible for ongoing credit monitoring and risk rating for a portfolio of corporate clients with a complexity profile commensurate… more
    KeyBank (08/02/25)
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  • Compliance Policy Manager

    SMBC (New York, NY)
    …maintain coordination with related compliance disciplines - eg, regulatory change, risk assessment, management of controls library. + Provide ongoing quality ... Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our Compliance ...company documents. + Respond to requests from regulators, the legal department, and internal audit and testing. + Other… more
    SMBC (07/01/25)
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