- 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 ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- 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
- Unity Technologies (New York, NY)
- …documents, including periodic and current reports, and proxy statements. + Provide securities law advice and compliance guidance for earnings releases, investor ... description** **The opportunity** Unity is looking for a Vice President, Corporate and Securities to join its Legal team. In this role, you will be responsible… 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