• Senior Counsel- Legal & Wealth Management

    City National Bank (Los Angeles, CA)
    …prospectuses, presentations, training materials, and account opening documentation to ensure regulatory compliance . * Experience advising on Employee Retirement ... WHAT IS THE OPPORTUNITY? Senior Counsel will provide general regulatory and transactional support to the Bank ...policies and procedures. * Assist with special projects, including compliance and regulatory law matters. * Handle… more
    City National Bank (05/10/25)
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  • Audit Consultant - Consumer Compliance

    M&T Bank (Buffalo, NY)
    …applicable compliance /operational risk controls in accordance with Company or regulatory standards and policies. + Promote an environment that supports belonging ... and execution of validation procedures for Internal Audit and Regulatory issues that require subject matter expertise. + Organize...and reflects the M&T Bank brand. + Maintain M&T internal control standards, including… more
    M&T Bank (05/28/25)
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  • Investment Relationship Officer

    City National Bank (Los Angeles, CA)
    …and their impact on various investment vehicles.Comply with and conform to all compliance and regulatory requirements of all regulatory authorities and ... to day client support and operational service on all CNS Investment Advisory Program and client-directed accounts, to affluent individuals and their families within… more
    City National Bank (04/18/25)
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  • Manager, Trade Surveillance - Quality Assurance

    TD Bank (New York, NY)
    …are responsible for identifying and escalating potential market abuse alerts to Advisory Compliance and business supervisors. The incumbent will be responsible ... TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent...Bank (GSIB), or the equivalent experience at a regulatory body (eg, leading a bank or… more
    TD Bank (05/22/25)
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  • Merrill Market Supervision Manager

    Bank of America (Buffalo, NY)
    …involved + Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk + ... life they envision through a personal relationship with their advisory team committed to their needs. We believe trust...Advisor (FA) business needs, while ensuring adherence to the bank 's compliance policies and procedures + Coaches… more
    Bank of America (05/31/25)
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  • Manager, Group Risk (US) eGRC Data & Data…

    TD Bank (New York, NY)
    …Manages oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key ... to develop proactive strategies, tactics, policies and programs to effectively manage regulatory / compliance issues + Acts as key liaison with partners and… more
    TD Bank (05/24/25)
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  • Corporate Tax Compliance Associate

    Mizuho Corporate Bank (New York, NY)
    Job Description: Position Overview: The Corporate Tax Compliance Associate will support the VP/Executive Director of Compliance in managing the company's tax ... on ensuring the accurate calculation and reporting of tax compliance and tax provision. Key Responsibilities: Tax Compliance...of your department, as well as local laws and regulatory obligations. Roles in some of our departments have… more
    Mizuho Corporate Bank (05/29/25)
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  • Senior AML Financial Crime Risk Analyst - AML…

    TD Bank (Lewiston, ME)
    …knowledge of AML, ATF, sanctions, ABC regulations, emerging risks, and regulatory compliance frameworks. + Experience assessing, identifying, and mitigating ... financial crime risks across business lines and jurisdictions, including regulatory advisory and issue resolution. + Ability to interact with business leaders, … more
    TD Bank (05/30/25)
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  • Compensation Advisor II - Corporate and Control…

    TD Bank (Charlotte, NC)
    …this role. **Line of Business:** Human Resources **Job Description:** The Compensation Advisory Group, within the Global Total Rewards Group, is TD's in-house ... activities for the assigned portfolio, including day to day compensation advisory and counsel, complex compensation design, ongoing forecasting and monitoring of… more
    TD Bank (05/28/25)
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  • Branch Manager - North Inland Empire

    US Bank (Upland, CA)
    …the terms of the SAFE Act of 2008 and Regulation Z and ongoing compliance with all legal or regulatory registration requirements, including, but not limited ... a satisfactory criminal and credit record. 13. Actively ensures compliance with the US Bank Code of...Skills/Experience** - Thorough product/service knowledge and thorough knowledge of regulatory , policy and compliance issues - Solid… more
    US Bank (05/29/25)
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