- BMO Financial Group (New York, NY)
- …- dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance programs. Broker - dealer businesses ... The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and… more
- PNC (New York, NY)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… more
- TD Bank (New York, NY)
- …is outlined in the general summary below.** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation ... risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal… more
- Guardian Life (Albany, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- BMO Financial Group (New York, NY)
- … Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work closely ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- TD Bank (New York, NY)
- …TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to assist with building a global Surveillance Quality Assurance program. The ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at… more
- TD Bank (New York, NY)
- …Compliance experience **Preferred Qualifications:** + Experience with a registered US broker dealer , regulator, or global financial organization. + JD ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …Compliance experience **Preferred Qualifications:** + Experience with a registered US broker dealer , regulator, or global financial organization. + Knowledge ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more