- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Position:** Director, Global Markets Oversight, US FCRM TDS Business Oversight **Reports to:** AVP, ... a robust financial crime risk management ("FCRM") program that meets regulatory requirements and mitigates financial crime risk. This involves providing guidance… more
- TD Bank (New York, NY)
- …Banking Space supporting a wholesale client base. Including knowledge of the regulatory framework supporting businesses such as Global Trade Finance and ... 10+ years of advisory experience. + Significant experience in providing legal, regulatory or compliance advice to Global Transaction Banking Businesses… more
- TD Bank (New York, NY)
- …below: + ** Global Control Room Portfolio Management** : Work with the senior members of the Global Control Room, DDI, technology and key stakeholders ... to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments,...required documentation to effectively report on the status of Global Control Room to senior leadership /… more
- TD Bank (New York, NY)
- …with staff and senior management of the Bank with respect to regulatory risk matters. + Empowered to make prudent professional decisions in rendering advice and ... investigates a range of operational/reporting/process issues and provides recommendations to senior management across the enterprise (including Global partners)… more
- Wellington (New York, NY)
- …our perspectives with those of our clients. **About the Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments ... management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the...to candidates in Boston, New York and Chicago. The Senior Compliance Analyst will be a member of the… more
- 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 team ... in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment bank/systemically important financial… more
- TD Bank (NY)
- …for this role. **Line of Business:** Risk Management **Job Description:** The Senior Group Risk Specialist within Operational Risk Management ("ORM") provides a ... Epoch and Insured Deposit Account, the focus of the Senior Group Risk Specialist will include but not limited...areas of expertise + Anticipates emerging business trends and regulatory /risk issues as a basis for recommending large-scale product,… more
- Wells Fargo (New York, NY)
- …across all levels of reporting; * Advanced knowledge of Financial Conduct Authority Senior Manager Regime; * Expertise with legal entity structures within US ... of the company. Wells Fargo Bank NA seeks a ** Senior Lead Business Execution Consultant** in New York, NY....and European companies, including the underlying regulatory requirements; * Experience liaising with global … more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** ** Senior Financial Analyst** **Technical Competencies:** + **Financial & Management ... lines, corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements + Keep abreast of emerging issues, trends, and evolving… more
- TD Bank (New York, NY)
- …standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as ... risk assessment, reporting and other activities** + **Internal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation… more