- TD Bank (New York, NY)
- …or regulator is preferred + Relevant professional designations such as FINRA Certified Compliance Officer Program + Basic knowledge of Equities, Fixed Income and ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $150,000 - $180,000...is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to ... and alert escalations * Co-ordinate requests to and from, business ( Compliance ) partners and coordinate tracking and...of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and… more
- Saratoga Casino Hotel (Saratoga Springs, NY)
- …Saratoga Casino Hotel welcomes you to apply! Your Role: Our successful Surveillance Officers promote outstanding relations with all guests and fellow Team Members ... Role: + At least 18 years of age + Previous experience in casino surveillance preferred. + Excellent written and verbal communication skills required. + Ability to… more
- Bank of America (Charlotte, NC)
- Compliance & Operational Risk Specialist - Trade Surveillance Charlotte, North Carolina, United States **To proceed with your application, you must be at least ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/ Compliance Operational-Risk-Specialist Trade- Surveillance \_25040545-2) **Job Description:** At Bank… more
- TD Bank (New York, NY)
- …Markets business , by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance 's ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $150,000 - $250,000...financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders… more
- Sycuan (El Cajon, CA)
- …and operates a Casino and a Golf Resort, and owns a number of other business ventures in the San Diego Region. One attribute that remains unchanged, however, is ... Sycuan's sense of community. Sycuan is more than just a business . Sycuan is a community of people working together toward a common goal. Whether you work in our… more
- Edward Jones (St. Louis, MO)
- …Edward Jones seeks a qualified individual to serve as a Senior Compliance Officer within the firm's Trading and Market Surveillance area in Financial Crimes. ... + 5+ years securities industry experience with minimum 3+ years in a compliance capacity or surveillance , trading or capital markets experience. + Series… more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer -CIB **Reports to:** Director, Financial Crime Risk Oversight, ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $115,000...risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the… more
- Equitable (Charlotte, NC)
- …Equitable's fastest growing business segment. Reporting to Equitable's Advisors Chief Compliance Officer , the Equitable Advisors DCCO will be responsible for ... Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary...will be largely focused on the dynamic investment advisory business of Equitable Advisors, the focus of the firm's… more