- TD Bank (New York, NY)
- …of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees) + ... processes.** + **Act as a thought partner to the Senior Manager, contributing to the team's roadmap, quality assurance...as required + Delivers relevant subject matter expertise and Compliance advice to business Compliance … more
- Raymond James Financial, Inc. (New York, NY)
- …Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic initiatives while managing a team ... FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to support… more
- TD Bank (New York, NY)
- …line with TD's Compliance Program + Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and ... you more specific details for this role. **Line of Business :** Compliance **Job Description:** **Why Work with...these Program requirements and to promptly escalate instances of non- compliance . + Works independently as the senior … more
- MTA (Jamaica, NY)
- Director, Corporate Compliance Suburban Operations Job ID: 12715 Business Unit: MTA Headquarters Location: Jamaica, NY, United States Regular/Temporary: Regular ... benefit of the agency's workforce. Establish strategic direction and policy for the oversight of business processes and provide strategic leadership. Serve as… more
- SMBC (New York, NY)
- … Advisory Associate role assists in managing coverage areas or processes under the oversight of one or more senior team members. Incumbents are typically ... strategic planning within area of coverage. Reports to a senior member of Private Side Compliance Advisory...units. + Assists in providing advice on regulatory and compliance requirements to business unit staff so… more
- 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 ... **Depth & Scope** + Accountable for a significant area(s)/broad business units of Compliance that typically has...enterprise wide impact or accountability. + Position deals with senior /executive management. + Key contact for business … more
- JPMorgan Chase (New York, NY)
- …Assessments, higher risk client types, KYC and Customer Escalation Standards + Provide oversight and credible challenge at Senior Level Committees and Forums ... strong and resilient. You help the firm grow its business in a responsible way by anticipating new and...skills + 10+ years of work-related experience working in senior level roles within Risk Management and Compliance… more
- New York State Civil Service (New York, NY)
- … of regulated entities, including applications to adopt material changes of business ;* Communicates with and presents to senior management, both orally ... one of the following:* Evaluating the adequacy of board and management oversight of the financial institutions' compliance programs.* Reviewing lending, deposit,… more
- 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 ... and other required documentation to effectively report on the status of Compliance policy, procedure and training initiatives to senior management, relevant… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to ... notes, and other required documentation to effectively report on the status of Compliance training initiatives to senior management, relevant boards and external… more