- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... + 2 years of experience with a registered US broker dealer or regulator. + Problem solving...and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser/ and the OCC. * For Wealth… more
- JPMorgan Chase (Columbus, OH)
- …meets the highest standards. Job Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses ... status quo and striving to be best-in-class. Job Summary As a Compliance Risk Management Senior Officer - Associate in Risk Management and Compliance , you… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential… more
- ADP (Florham Park, NJ)
- … compliance , or operations. + Minimum of 2 years of experience in a broker - dealer compliance or registration role + Strong familiarity with FINRA ... plays a critical operational and support role within the broker - dealer 's compliance department. This position...platform by associates. + Obtain approval from the Chief Compliance Officer for associate financial accounts and… more
- Cleveland Research Company (Cleveland, OH)
- …Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- TD Bank (New York, NY)
- …and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is...+ 7 years of experience with a registered US broker dealer , swap dealer , Global… more
- TD Bank (Mount Laurel, NJ)
- …participates in routine monitoring plan meetings. The Deputy supports the US Head of Compliance Programs and Chief Compliance Officer (CCO) in ensuring the ... regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls...place + Assist Data Management lead and the Data Officer in Sr Management communication and reporting to the… more