- TD Bank (New York, NY)
- …+ 5-7 Years of related experience **Preferred Qualifications:** + Seven or more years securities compliance or related securities experience required. + JD ... you more specific details for this role. **Job Description:** The VP Compliance , TD Securities oversees/leads a team(s) of specialists/professionals providing… 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)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will manage ongoing Compliance risk coverage planning that… more
- Raymond James Financial, Inc. (NY)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage ... **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. +...and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the … more
- HSBC (Buffalo, NY)
- … risks. Experience in assurance or audit roles preferred. Experience in securities compliance is a plus + Preferably bachelors/master's in accounting, ... team of global professionals. As our Audit Manager, Regulatory Compliance , Conduct and Legal (RCCL) Audit you will: +...US RCCL Audit team on matters related to Regulatory Compliance and Legal risk frameworks, Data Analytics etc +… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… 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 ... Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology, Advisory Compliance… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- Raymond James Financial, Inc. (NY)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more