- KeyBank (NY)
- …equivalent experience + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes regulatory requirements. Support the AML Enterprise Team… more
- The Estee Lauder Companies (New York, NY)
- …*Coordinate comms and follow-up actions between the Board, exec leadership, stakeholders Securities Law Compliance *Provide legal counsel on SEC reporting and ... Internal Audit, Communications, HR, and Corp Citizenship & Sustainability to manage securities law compliance Proxy Statement *Lead prep/filing of the annual… more
- Warner Bros. Discovery (New York, NY)
- …functions for the company. This role will oversee all corporate governance, securities compliance , public company reporting, and board operations, while also ... investor relations, corporate communications, CSR, and legal. Your Role Accountabilities ** Securities Compliance & SEC Reporting** + Ensure 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
- 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
- Raymond James Financial, Inc. (New York, NY)
- …responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced knowledge of:** + Compliance and risk training for the securities industry and/or ... compliance . + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: Securities Exchange… more
- TD Bank (New York, NY)
- …board reporting, with clear messaging on data insights from banking and securities regulation, key compliance metrics, and regulatory remediation. *Ability to ... 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
- Raymond James Financial, Inc. (New York, NY)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and ... communication of all exam findings to branch management, exam managers and compliance leadership + Provides reporting of exam findings and complete any related… more
- Meta (New York, NY)
- …regulatory filings, with emphasis on proxy statements 2. Advise on complex securities law compliance and disclosure matters, with emphasis on governance ... experience with public companies. Emphasis on SEC and regulatory compliance , corporate governance, and shareholder engagement 14. Experience leveraging… more
- TD Bank (New York, NY)
- …role. **Job Description:** We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities . This role is critical in ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...resolve potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment… more