- TD Bank (New York, NY)
- …TD Securities US this role is pivotal in maintaining the US TD Securities ' compliance framework, ensuring that it is robust, adaptive, and aligned with ... York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $200,000 - $280,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the ... Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology, Advisory Compliance… more
- TD Bank (New York, NY)
- …and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… 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 ... compliance /business objectives **Position Requirements** + 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Guardian Life (Albany, NY)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to ... Surveillance Compliance professionals engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- TD Bank (New York, NY)
- …head and relevant trading personnel + Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $300,000 - $300,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Raymond James Financial, Inc. (New York, NY)
- …Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance . + Rules and regulations of the ... procedures, and manages key projects from inception to completion. + Provides day-to-day compliance support for Fixed Income business areas, and serves as a resource… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more