• Director, Compliance - Regulatory…

    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
    TD Bank (09/07/25)
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  • Sr Compliance Associate - Financial Crimes…

    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
    KeyBank (09/06/25)
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  • Vice President, Senior Corporate Counsel…

    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
    The Estee Lauder Companies (09/05/25)
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  • Head of Legal - Capital Markets, M&A, Real Estate,…

    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
    Warner Bros. Discovery (09/09/25)
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  • Director, Trade Surveillance - Data Quality

    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 (09/06/25)
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  • Manager, Trade Surveillance - Quality Assurance

    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 (08/21/25)
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  • Enterprise Compliance Training & Education…

    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
    Raymond James Financial, Inc. (08/28/25)
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  • Compliance Governance & Operations Manager…

    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
    TD Bank (09/05/25)
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  • Vice President, Corporate Legal

    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
    Unity Technologies (06/11/25)
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  • Lead Sr. Advisor, PCG Branch Exams

    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
    Raymond James Financial, Inc. (09/04/25)
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