- TD Bank (New York, NY)
- … Compliance team is looking for an Associate candidate (Senior Compliance Officer ) to join the new Trade Surveillance team. Preferred 3-5 years of ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- 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 ... Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance TDS oversees/leads a team(s)… more
- Wells Fargo (New York, NY)
- …+ Work with compliance , legal, and IT teams to ensure effective surveillance coverage. + Attend team meetings and contribute to discussions on risk and ... compliance strategy. **Trade Surveillance Awareness** + Promoting a culture of accountability and transparency. **Regulatory Research** + Keeping up to date… more
- Mount Sinai Health System (New York, NY)
- **Job Description** **Infection Surveillance Officer -Infection Control-Mount Sinai Downtown-Full Time, Days** This role involves conducting surveillance of ... AGL - Infection Control - BI, Mount Sinai Beth Israel **Responsibilities** ** Surveillance :** + Knows CDC Guidelines and National Healthcare Safety Network (NHSN)… 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
- 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
- TD Bank (New York, NY)
- …bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… 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 7, 9, 10.… 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, ... risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the...and audit requests. + Provide backup to general AML compliance functions such as surveillance reviews, section… more