- TD Bank (New York, NY)
- …Identify, assess, and resolve potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment Banking, Capital ... Officer to join our Compliance Control Room at TD Securities . This role is critical in reviewing, managing and...dealing with non-routine information + Focuses on short to mid - range planning (eg 6-12 months) + Manages regulatory… more
- TD Bank (New York, NY)
- …will support the continued integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework. Focus will be on ... **Position Requirements** + 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading algorithms, alternative trading systems… more
- TD Bank (New York, NY)
- …external/internal auditors, dealing with non-routine information + Focuses on short to mid - range planning (eg 6-12 months) + Manages regulatory reviews including ... at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability...statements are intended to describe the general nature and level of work being performed by people assigned to… more
- TD Bank (New York, NY)
- …and/or performs tasks from end to end + Focuses on short to mid -term issues (eg monthly-quarterly) **Education & Experience:** + Bachelors degree or progressive work ... sales and trading markets + Strong knowledge of applicable securities laws, rules and regulations with the ability to...statements are intended to describe the general nature and level of work being performed by people assigned to… more
- TD Bank (New York, NY)
- …and/or performs tasks from end to end + Focuses on short to mid -term issues (eg monthly-quarterly) **Education & Experience:** + Bachelors degree or progressive work ... statements are intended to describe the general nature and level of work being performed by people assigned to...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …external/internal auditors, dealing with non-routine information + Focuses on short to mid - range planning (eg 6-12 months) + Manages regulatory reviews including ... representative, both internally and externally. + Possesses an advanced level of financial and strategic acumen to provide insight...of related experience (in Compliance) **Who We Are** TD Securities offers a wide range of capital markets products… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking an Executive Director- level Portfolio Manager for Wells Fargo Corporate & Investment Banking Renewables team. The ... Power and be responsible for the direct management of mid - and junior- level resources, as well as...oversight on a portfolio of private and public companies. Corporate & Investment Banking ("CIB") delivers a comprehensive suite… more
- Wells Fargo (New York, NY)
- …is seeking talent to join the 2026 Investment Banking Early Career Program in Corporate and Investment Banking. Learn more about the career areas and lines of ... maintains active relationships with a broad universe of middle market, large corporate , financial sponsor and institutional clients, and is highly experienced in… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to assist ... Surveillance Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology, Advisory… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join the ... / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess...dealing with non-routine information + Focuses on short to mid - range planning (eg 6-12 months) + Manages regulatory… more