- TD Bank (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The ... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business ... compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets...objectives **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- JPMorgan Chase (New York, NY)
- …are dedicated to maintaining a strong and resilient organization. As a Regulatory Strategy Senior Officer , you will be instrumental in ensuring our firm grows ... and strives to be best-in-class in risk management and compliance . Your expertise will help us navigate complex regulatory...our relationships with global regulators. As a Regulatory Strategy Senior Officer in the Firmwide Regulatory Strategy… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible bonds, agency bonds, municipal bonds, and US Treasuries… more
- Highmark Health (Albany, NY)
- …Ensure all reported matters are addressed in a timely and responsible manner in compliance with corporate policy, state and federal law and best practices. + ... of the insurance industry, strategic compliance planning, regulatory concerns, compliance requirements, and corporate integrity principles. + Excellent oral,… 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 ... LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. You will have...are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain… more
- Rochester Institute of Technology (Rochester, NY)
- **9652BR** **Position Title:** Senior Admissions Officer **Organization:** Saunders Executive Education **Job Responsibilities:** The major responsibilities of ... The Saunders College of Business is accepting applications for the position of Senior Admissions Officer in the Executive MBA Program. This position is… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… more
- SMBC (New York, NY)
- …Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local ... of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to implement and execute SMBC's… more