- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of ... a comprehensive compliance program for the Capital Markets division. This role...program for Capital Markets, encompassing Equity Investment Banking, Equity Research , Institutional Equity Sales & Trading, Affordable Housing Investments,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... details for this role. **Job Description:** This Director - Compliance role will be a key member of the...to a premier US equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** This VP Compliance role will be a key member of the...to a premier US equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank ... US Compliance , we're on a mission to build a more...non-standard, high risk issues + Conducts internal and external research projects; supports the development/delivery of presentations/communications to management… more
- KeyBank (NY)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio **About the Job** The Sr. Compliance Manager - Trust & Fiduciary is responsible for leading and executing independent ... compliance oversight across KeyBank's Wealth and Fiduciary business lines....across fiduciary products, services, and processes. + Perform regulatory research and evaluate business controls to determine appropriate testing… more
- Mizuho Corporate Bank (New York, NY)
- …is a front office function serving Japanese corporate clients in the US The Compliance and Risk Management Unit, part of the Planning Team within ACBD1, is ... responsible for a wide range of compliance matters and risk management initiatives. The primary responsibilities of this role include: + Collaborating with other… more
- Cardinal Health (Albany, NY)
- **_What Ethics & Compliance contributes to Cardinal Health_** Ethics & Compliance promotes a culture that encourages ethical conduct and a commitment to ... compliance . This function implements strategies and processes to ensure...analyzing patient medical records. + Availability to assist with research of denied claims. + Maintains a functional knowledge… more
- TD Bank (New York, NY)
- …bodies related to CGO accountabilities + Participates in/leads enterprise-wide or Compliance focused special projects + Oversees research , development and ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- American Express (New York, NY)
- …Express. This position will be a key member of the US Commercial Compliance team supporting American Express Global Commercial Services (GCS) Business to Business ... digital capabilities and payment automation initiatives. This Line of Business Compliance Officer (LOBCO) second line of defense role provides the opportunity… more
- American Express (New York, NY)
- …will you make an impact in this role?** This **Director- US Consumer Deposits Compliance ** position will play a critical leadership role within the Line of Business ... Compliance (LOBCO) organization supporting the US Consumer deposits business,...money movement, servicing, and account restrictions. + Ability to research , assess, and determine regulatory impact to business initiatives.… more