- Raymond James Financial, Inc. (New York, NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...regulations of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and… more
- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... risk and regulatory knowledge with an emphasis on Non-Financial Risks. ( Compliance , Operational, Reputational, Strategic Risks) + Knowledgeable of Credit, Market and… more
- GE Vernova (New York, NY)
- …and management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a ... **Job Description Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory ...compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). + Demonstrated understanding of… more
- TD Bank (New York, NY)
- …regulations, including Reg B, Reg E, FCRA, CRA, UDAAP, GLBA; familiarity with securities regulations a plus. + Experience in compliance monitoring, testing, and ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- Guardian Life (New York, NY)
- …want to be part of a collaborative Compliance Legal Team? The Compliance Analyst, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...works as part of the Compliance team to ensure that various compliance … more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory ... coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank ... US Compliance , we're on a mission to build a more...TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities… more
- Robert Half Finance & Accounting (Westbury, NY)
- …strategic financial goals. With a significant focus on financial reporting and Securities and Exchange Commission (SEC) compliance , this position also involves ... abreast of developments in SEC regulations and advising leadership on compliance needs * Overseeing all accounting functions, including general ledger, accounts… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance… more
- Marex (New York, NY)
- …The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more