• Compliance Business Oversight Manager…

    TD Bank (New York, NY)
    …testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit , regulatory exam, and ongoing supervision management, finding tracking, and ... guidance and independent challenge.** **In this position, the Compliance Manager will manage the regulatory change management process, regulatory compliance… more
    TD Bank (09/30/25)
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  • Sr. Compliance Manager - Wealth Management…

    KeyBank (Amherst, NY)
    …and in collaboration with other members of REA team on projects and testing. The Senior Compliance Manager must have in-depth knowledge of wealth and trust risk ... management as well as a strong understanding of audit and/or testing concepts with the ability to apply...to testing, monitoring, issues management, and verification activities. The Senior Compliance Manager must exhibit strong leadership,… more
    KeyBank (09/14/25)
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  • Senior Compliance Business Oversight…

    TD Bank (New York, NY)
    …testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit , regulatory exam, and ongoing supervision management, finding tracking, and ... manage regulatory compliance risk and conduct risk;** **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and… more
    TD Bank (09/05/25)
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  • Senior Compliance Officer - Fixed Income

    BMO Financial Group (New York, NY)
    …("FICC") LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. You will have a specific focus on compliance ... with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advise business/group on implications of new regulatory… more
    BMO Financial Group (09/22/25)
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  • Senior Wealth Advisor

    M&T Bank (New York, NY)
    …M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as ... + Complete other related duties as assigned. **Scope of Responsibilities:** As the manager for a book of client relationships, the Wealth Advisor is responsible and… more
    M&T Bank (09/04/25)
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  • Compliance Business Oversight Manager

    TD Bank (New York, NY)
    …a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of ... management** + **Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions** + **Conduct periodic… more
    TD Bank (09/24/25)
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  • Sr Director, Wealth CIO Operations & Execution

    TIAA (New York, NY)
    …and business processes are efficient, scalable, and aligned with regulatory and fiduciary obligations in PAM and IMG, while delivering value through operational ... primary liaison with Business Controls, Compliance / Risk / Audit functions * Management of audit /...within a wealth, trust and/or brokerage business as a senior risk leader or an external consultant. Compliance experience… more
    TIAA (10/04/25)
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