- Intuit (New York, NY)
- **Overview** Intuit is the global financial technology platform that powers prosperity for the people and communities we serve. With approximately 100 million ... manage projects from start to finish **How you will lead ** + Lead the development and execution...front of any potential covenant issues. + Monitor the regulatory landscape to identify potential impacts and ensure compliance… more
- American Express (New York, NY)
- …trends to establish a risk-based Audit Plan with adequate coverage + Support and/or lead regulatory activities and attend regulatory meetings as appropriate ... About the Role The IAG Compliance Director role will lead core Global Compliance & Ethics (GCE)...Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM)) + Experience with… more
- TD Bank (New York, NY)
- …The M&T Team sits within Core Compliance and covers the TDS US and global businesses, working with regional teams across the globe. This Compliance Officer will also ... more years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator. + Knowledge of … more
- Wellington (New York, NY)
- …comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return ... the Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments Compliance program, focusing on information controls. As… more
- TD Bank (New York, NY)
- …and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS Governance & ... adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations. **JOB DESCRIPTION** Reporting to the… more
- TD Bank (New York, NY)
- …manages ongoing marketing items to ensure compliance with firm and regulatory policy. Teammates interact directly and independently with field leadership, advisors, ... regulatory agencies and provides advice and guidance for document...Compliance Business Oversight Analyst** **will assist in US and Global Compliance projects as necessary.** **Job Summary:** The Senior… more
- TD Bank (New York, NY)
- …and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS Governance & ... adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations. **JOB DESCRIPTION** The Vice President… more
- JPMorgan Chase (New York, NY)
- …colleagues across Lines of Business and Risk Management functions + Drive firmwide global consistency in regulatory responses, working closely with Regulatory ... **Summary** The Business Implementation and Regulatory Strategy (Americas) will be responsible for the...requirements and inform the team's future analytical capabilities + Lead firmwide risk exposure deep dives and strategic projects… more
- TD Bank (New York, NY)
- …standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as ... risk assessment, reporting and other activities** + **Internal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation… more
- TD Bank (New York, NY)
- …regulations and accounting standards (IFRS, GAAP). **People and Team Management:** . Lead a global team of technology professionals, including developers, ... **Description:** The Director of Finance, Tax, and Accounting Technology will lead strategic technology initiatives supporting the business function of the… more