- TD Bank (New York, NY)
- …placements. + Provides strategic vision to the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, ... Director will primarily focus on the management of the firms compliance program supporting all corporate investment banking Functions including M&A, Debt and Equity… more
- TD Bank (New York, NY)
- …TD Securities & Cowen (TDS). Investment Banking, Capital Markets and Global Transaction Banking (GTB) to corporate, government, and institutional clients globally ... issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated Transaction Banking solutions. In 2023,… more
- Manulife (New York, NY)
- …maintaining and enhancing the AML/KYC policies, procedures, and controls of the global Private Markets organization. In this role of Director, you will work ... all prospective investors subject to acceptance by the general partner or manager , across all Private Markets products, including open-end and closed-end funds.… more
- TD Bank (New York, NY)
- …for the strategic direction, design, content, and management of the TD Global Sanctions Program , including satisfaction of US specific requirements promulgated ... Financial Crime Risk Management **Job Description:** **Department Overview:** The Global Sanctions, Anti-Bribery, Anti-Corruption (ABAC), and Financial Crime Risk… more
- TD Bank (New York, NY)
- …and debt securities. + Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe ... Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt and Equity Capital… more
- TD Bank (New York, NY)
- …practices. The Financial Crimes Risk Management (FCRM) Know Your Customer (KYC) Program Team is responsible for the establishment and ongoing oversight of an ... effective KYC Program for TD Bank US Holdings. The KYC ...Enhanced Due Diligence (EDD) reviews on high-risk customers at onboarding , periodic review, and event driven reviews, ensuring compliance… more
- TD Bank (New York, NY)
- …Oversight** + Assist with developing and overseeing the Compliance Monitoring program . + Collaborate with colleagues globally to develop and enhance ongoing ... + Assist with the development of the Compliance Oversight program . + Evaluate and support first line testing efforts...+ JD desirable but not required + Knowledge of global financial institutions' operational, financial, sales and trading, and… 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 Executive Assistant will also work with the Business Manager to drive initiatives and should feel empowered to...and proactive scheduling across multiple time zones for a global team. + **Meeting & Event Coordination** : Organize… more
- TD Bank (New York, NY)
- …sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer ... will also support other aspects of the Core Compliance program as needed. Compliance Monitoring and Testing + Develop...experience with a registered US broker dealer, regulator, or global financial organization. + JD desirable but not required… more
- TD Bank (New York, NY)
- …strong sense of integrity, we help mitigate potential risks to the surveillance program , and ultimately the global Markets business, by delivering and ... lead the Surveillance Data Quality Team. This is a global role, the incumbent will work with the Trade...data workflows and enhance the effectiveness of TDS's Surveillance program . + Issue Resolution & Root-Cause Analysis: Investigate and… more