- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. … 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 provide ... agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements,… more
- TD Bank (New York, NY)
- …role will not have direct reports but will partner closely with other senior managers who lead functional verticals (eg, compliance training, issues management, ... role which is outlined in the general description below. **Job Summary:** The Senior Manager, Compliance Governance & Operations leads, develops and oversees a… more
- BMO Financial Group (New York, NY)
- …and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with ... incorporating compliance requirements into these initiatives. + Ensure effective regulatory compliance controls that enable business objectives. + Identify… more
- Heritage Financial Credit Union (Middletown, NY)
- …a difference in the lives of our members and our community. POSITION PURPOSE Regulatory Compliance is responsible for developing and maintaining a Compliance ... Senior Lending Compliance Analyst - Remote...a financial institution, auditing firm, or consulting firm with regulatory compliance focus + Bank operations experience… more
- TD Bank (New York, NY)
- …enterprise as appropriate. **Job Overview:** We are seeking an experienced and proactive Senior Manager to lead program operations for Compliance Strategy & ... role which is outlined in the general description below. **Job Summary:** The Senior Manager, Compliance Governance & Operations leads, develops and oversees a… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units ... in adhering to regulatory / compliance requirements and assists in implementing ...compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets… more
- American Express (New York, NY)
- …with digital and mobile banking products & platforms preferred. + Certified Regulatory Compliance Manager (CRCM) or similar professional certification preferred. ... Compliance oversight, guidance and challenge to business stakeholders on compliance / regulatory requirements applicable to consumer deposit products and… more
- University of Rochester (Rochester, NY)
- …and monitoring compliance programs that meet all applicable legal, regulatory , and contractual obligations, while also advising senior leadership on ... assessments, and other relevant documentation to senior leadership and regulatory agencies. + **Subcontractor Compliance ** : Ensure all subcontractors and… more
- TD Bank (New York, NY)
- …Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a...for enhancements, to the Global Head of Surveillance and Compliance senior management. + Surveillance Portfolio Management:… more