- Citizens (Tarrytown, NY)
- …and research, while intimately focusing on each client's unique circumstances. The Investment Operations Sr. Manager will be responsible for effective and ... Citizens Private Bank has accelerated its strategy to build out Wealth Management , scale Business Banking, grow deposits, and expand in key growth markets.… more
- Citigroup (New York, NY)
- …of senior management + Coordinates all aspects of executive level manager appointments, meetings, receptions and conference calls + May prepare and review ... providing other administrative tasks. **Responsibilities:** + Directly supports a C16 level manager and generally supports an entire department + Manages day to day… more
- KeyBank (Amherst, NY)
- …testing, monitoring, issues management , and verification activities. The Senior Compliance Manager must exhibit strong leadership, initiative, and agility as ... of REA team on projects and testing. The Senior Compliance Manager must have in-depth knowledge of...services (eg - trust, private banking, securities/ investment management ) as well trust/fiduciary related compliance , operations,… more
- TD Bank (New York, NY)
- …the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and ... needed** **Job Summary:** The ** Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence and risk management within our bank.… more
- TD Bank (New York, NY)
- …and/or recommendations for enhancements, to the Global Head of Surveillance and Compliance senior management . + Surveillance Portfolio Management : Work ... related to Trade Surveillance programs. + Familiarity with regulations and compliance strategies and risk management ; possesses and demonstrates expertise… more
- TD Bank (New York, NY)
- …objective guidance and independent challenge.** **In this position, the Compliance Manager will manage the regulatory change management process, regulatory ... assessing the adequacy of adherence to and effectiveness of Compliance Management System (CMS) programs and controls...business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance… more
- TD Bank (New York, NY)
- …the supervision of employees who are located outside of the US but provide investment management support to Epoch as part of a participating affiliate ... a mission to build a more resilient and scalable compliance risk management function. As part of...a subsidiary of the Toronto-Dominion Bank.** **Job Summary:** The Compliance Business Oversight Manager provides advice, support… 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 ... are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. This role is...bring between 5-7 years of specialized experience in conflicts management , with a track record of working on conflicts… more
- Skanska (Queens, NY)
- Skanska is searching for a dynamic DBE Compliance Manager . This is a great opportunity to start a career with a company that builds things that matter and values ... support and drive our D&I efforts. The Senior DBE Compliance Manager will take part in administering...aware of and have been trained on Skanska's DBE Compliance Program and Management Policy as well… more
- TD Bank (New York, NY)
- …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...a global Surveillance QA program. The Surveillance Quality Assurance Manager will contribute to and help lead a specialized… more
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