- Guardian Life (New York, NY)
- …and securities regulations. + Support the development of the compliance team's data analytics abilities by promoting collaboration and identifying opportunities ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- Thrivent Financial (Minneapolis, MN)
- …help them live the life they want today-and tomorrow. Job Summary This position is responsible for providing portfolio compliance oversight for Thrivent's ... securities /investment knowledge. + Basic experience with investment management-related compliance /audit methodologies and regulatory. issues associated with the SEC,… more
- DuPont (Wilmington, DE)
- …the internal audit function with primary focus on IT audits and Sarbanes-Oxley (SOX) compliance . This position requires a strategic thinker to design and lead ... recommendations that drive compliance and operational excellence. This is an onsite position . Team members work 3 days onsite and 2 days remote. Candidates must… more
- First National Bank of Omaha (Omaha, NE)
- … compliance management experience with a bank or financial institution(2LOD/ Compliance related role). ( Securities Trading, Wealth Management, or Non-Consumer ... our organization's success.** **Summary of the Job:** The Internal Auditor II - Compliance is responsible for the timely execution of assigned audits. The successful… more
- Vanguard (Malvern, PA)
- …In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while ... providing exceptional, high-value business partnership and compliance support. In addition, Vanguard is an employer of choice that continually invests in the growth,… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...regulations, and industry standards, as it applies to Banking, Securities , Insurance, Prudential, Finance, HR, etc. + Experience with… more
- TD Bank (Greenville, SC)
- …judgment regarding responsiveness and appropriateness.** **Summary about role:** **In this position , the Senior Compliance Business Oversight Analyst** **will ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
- Louisiana Department of State Civil Service (LA)
- Compliance Examiner 1-4 Print (https://www.governmentjobs.com/careers/louisiana/jobs/newprint/4930974) Apply Compliance Examiner 1-4 Salary $3,345.00 - ... offices: Baton Rouge, New Orleans, Lafayette, Alexandria, Shreveport and Monroe. Compliance Examiners employed by the Office of Financial Institutions may conduct… more
- TD Bank (New York, NY)
- …team members providing a range of support, guidance and analysis on regulatory/ compliance /technology issues. Position will support the Chief Compliance ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- MUFG (Irving, TX)
- …to collaborate with colleagues globally. Analysts are expected to transition out of the Compliance Analyst Program and into a position within a financial crime ... and resourceful candidate interested in pursuing a career in compliance and the banking industry? This opportunity might be...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more