• Trade Surveillance Associate (Compliance) - TD…

    TD Bank (New York, NY)
    …evolving regulatory requirements and assess potential impacts * Maintain a culture of risk management and control , supported by effective processes in alignment ... of the organization - identify and manage risks, and escalate non-standard, high- risk activities as necessary * Conduct reporting and / or meaningful analysis… more
    TD Bank (08/08/25)
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  • Director - Equity Research Advisory Compliance

    TD Bank (New York, NY)
    …regulatory requirements and assisting business units to manage their regulatory risk . The successful candidate should have compliance advisory experience in Equity ... to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. **Key Responsibilities** + Provide day to day… more
    TD Bank (09/16/25)
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  • Technology Delivery Director - Communication…

    TD Bank (New York, NY)
    …Establish strong relationships with business, global trade surveillance, corporate investment banking , global markets, and compliance control room to understand ... Supervision leadership team, the candidate will play a critical role in managing risk , protecting the firm's reputation, and fostering a culture of technical and… more
    TD Bank (10/01/25)
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  • VP, Client Portfolio Management

    TD Bank (New York, NY)
    …the organization - identifies and manages risks, and escalates non-standard, high risk transactions / activities as necessary + Ensures documentation that is ... relationships within and across various business lines/ corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements… more
    TD Bank (09/24/25)
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  • Vice President Municipal Bond Operations

    TD Bank (New York, NY)
    …relative to the specific area of functional expertise as authorized by the manager ** **Escalates non-standard or high risk transactions or other activities as ... positions within the department. Activities include advising agent of ticket control numbers for confirmations and by performing required system maintenance. In… more
    TD Bank (09/21/25)
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  • Securities Services -Alternative Fund Services…

    JPMorgan Chase (Brooklyn, NY)
    …requests + Liaise with support functions, internal & external stakeholders including risk and control groups, audit, tax, compliance, implementation and investor ... investor allocations and capital account statements in adherence with the control framework, including internal policies and procedures + Prepare and/or review… more
    JPMorgan Chase (09/12/25)
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  • VP, FX Strategist, TD Securities

    TD Bank (New York, NY)
    …sales and trading activity is in line with those policies + Demonstrates governance, control and risk management behaviors in alignment with TD policies and ... of hedging strategies to manage currency exposure and mitigate risk for the bank and its clients + Monitor...extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering… more
    TD Bank (09/21/25)
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  • Lead Teller

    KeyBank (Clifton Park, NY)
    …staffing issues and branch compliance with regulatory, security, and internal audit controls . At KeyBank, we believe it's our opportunity and our privilege to ... to stay current on offerings + Support the Branch Manager in onboarding and training of new Tellers to...utilizing available access channels (ex: ATM, Online and Telephone Banking ) + Strong work ethic and high level of… more
    KeyBank (10/01/25)
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  • Commercial Development Program

    M&T Bank (Buffalo, NY)
    …days in the office, remainder at home). + Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and ... diversity and reflects the M&T Bank brand. + Maintain M&T internal control standards, including timely implementation of internal and external audit points together… more
    M&T Bank (07/15/25)
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  • Vice President, US Markets Equities Compliance…

    TD Bank (New York, NY)
    …of compliance with firm policies for covered business areas + Conduct compliance risk assessments to ensure effective business control framework + Analyze new ... resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. **Responsibilities:** + Advise business areas on… more
    TD Bank (08/09/25)
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