- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... developing and delivering financial strategy, information, and management support within TD Securities (TDS). A key function within the department is the oversight… more
- Citigroup (Getzville, NY)
- …to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems ... which require an in-depth evaluation of basic securities processing procedures and industry standards + Process various hedge fund tasks, including calculating net… more
- MUFG (New York, NY)
- …details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who ... and able to effectively communicate with various stakeholders. + Assess regulatory/ compliance controls related to areas of coverage. This would include providing… 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 , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...regulations, and industry standards, as it applies to Banking, Securities , Insurance, Prudential, Finance, HR, etc. + Experience with… more
- HUB International (New York, NY)
- …mergers and acquisitions. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a highly visible,...and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act… 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
- Bank of America (New York, NY)
- Director; Compliance and Operational Risk Manager New York, New York **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Director-- Compliance -and-Operational-Risk-Manager\_25034452) **Job Description:** At Bank of America, we are… more
- KeyBank (Amherst, NY)
- …wealth management products and services (eg - trust, private banking, securities /investment management) as well trust/fiduciary related compliance , operations, ... Road, Brooklyn Ohio **About the Job** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the… more
- Guardian Life (New York, NY)
- …and securities regulations. + Support the development of the compliance team's data analytics abilities by promoting collaboration and identifying opportunities ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...Do you want to be part of a collaborative Compliance Legal Team? As a Data Analyst in … more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain...handling, and Market Access. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more