- 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
- 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)
- …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 specific details for this role. **Job Description:** TD Securities is seeking a highly experienced and strategic Senior...experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of ... the US Compliance Examination Plan established to ensure adherence with broker-dealer...Office software applications + Strong working knowledge of the securities industry including Equity and Fixed Income Sales &… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8034 About Our ... Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange...registered investment advisers is a must. + Proactively identify compliance issues and obtain workable resolution. Make a broad… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The...(i) public and private offerings of equity and debt securities . + Assist in the development and build out… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
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