- TD Bank (New York, NY)
- …of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact. + Leading initiatives and managing ... has enterprise wide impact or accountability. + Position deals with senior /executive management. + Key contact for business management, regulators and… more
- Unity Technologies (New York, NY)
- …in corporate, securities or capital markets experience. + Knowledge of public company financial reporting rules and regulations relevant to securities law. + ... teams and interact with all levels of the business. This role reports to the Senior Vice President, Chief Legal Officer of Unity, and will be located in our New… more
- BMO Financial Group (New York, NY)
- …requirements + Develops and maintains compliance information for analysis and reporting . + Achieves compliance goals by maintaining current knowledge of regulatory ... ability to monitor regulatory compliance programs. + Advises and influences senior leaders on managing regulatory risk associated related to business decisions… more
- Capital One (New York, NY)
- …Product, Commercial Bank Capital Markets **Capital Markets | Head of Product | Senior Director** The Capital Markets Group is a high growth business within Capital ... trades and transactions in a well-managed and compliant manner. Reporting to Chief Product Officer of the Commercial Bank...of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA) and Swap Dealer (CFTC / NFA)… more
- Guardian Life (New York, NY)
- …compliance program effectiveness and efficiencies. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and ... Assist in the preparation of required regulatory filings. Collaborate with and assist senior personnel within Law, Compliance, and PAS business areas to perform high… more