- Robert Half Finance & Accounting (Minneapolis, MN)
- …enhancements to improve efficiency and oversight. Qualifications 7+ years of relevant compliance experience; prior institutional broker - dealer experience is ... Description Compliance Manager Are you an experienced compliance professional ready to lead and enhance compliance programs in the financial services… more
- Regions Bank (Birmingham, AL)
- …organizational skills + Strong work ethic and self-motivation **Additional Preferences** + Prior compliance experience in banking, broker - dealer in a lead or ... the system. **Job Description:** At Regions, the Business Unit Compliance Analyst is a first line of defense risk...and serves as a consultant on issues related to compliance + Conducts research of laws and regulations that… more
- City National Bank (New York, NY)
- … Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management Compliance ... * COMPLIANCE ANALYST* *WHAT IS THE OPPORTUNITY?* The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...details for this role. **Job Description:** Our TD Securities Compliance team is seeking a VP Compliance … more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance … more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser/ and the OCC. * For Wealth ... * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and advisory role… more
- Robert Half Finance & Accounting (Boston, MA)
- …At least 2-5 years of compliance or risk management experience for a broker - dealer or investment advisor is required, along with a FINRA Series 7, 24, ... boutique Wealth Management firm looking to bring onboard a Compliance Analyst. The role is in Boston, mostly in...Boston, mostly in office. This role focuses on ensuring compliance and mitigating risk within a financial institution through… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or 66), ... Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance ...a Compliance Specialist to support the firm's Compliance Program. You will report to Manager- Compliance … more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Training Associate to join our Compliance ...dynamic Compliance Training Associate to join our Compliance Department Training Team. In this role, you will… more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more