- TD Bank (New York, NY)
- …of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees) + ... in compliance with applicable internal and external requirements (eg financial controls, segregation of duties, transaction approvals and physical control of… more
- S&P Global (New York, NY)
- …For:** **Basic Required Qualifications:** + 8+ years of relevant experience in financial services, regulatory consulting. + Experienced in compliance , risk, and ... **US Candidates Only:** The EEO is the Law Poster http://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf describes discrimination protections under federal law.… more
- City National Bank (Charlotte, NC)
- *BUSINESS CONTROLS LEAD- TECHNOLOGY RISK AND COMPLIANCE * WHAT IS THE OPPORTUNITY? This position will work directly with the City National Bank's ("CNB") and Business ... Control Officer ("BCO") and Senior Business Control Manager for Risk Management and will...1LOD role, within Technology & Innovation, will support the Compliance Management System (CMS) process, with a focus on… more
- TD Bank (New York, NY)
- …and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact. + ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- HUB International (New York, NY)
- …business initiatives. + 10+ years' experience as a senior SEC regulatory compliance professional for either a large financial services firm + Experience ... Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business...policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser… more
- TD Bank (New York, NY)
- …with regulators from the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (Fed), Consumer Financial Protection Bureau (CFPB), Office of ... provide trusted and reliable reporting, advice and opinion to senior leadership and the Boards on the state of...Financial Institutions (OSFI) and internal audit to ensure compliance * Aids in development and enhances a scalable… more
- SMBC (New York, NY)
- …although role also supports strategic planning within area of coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as… more
- Boston University (Boston, MA)
- …the Monthly Funders Report, aligned with strategic objectives and KPIs. + Ensure financial and program reporting and compliance obligations to the funding ... + Work with the COO on implementation and maintenance of all portfolios, financial and compliance management tools. **Research administration:** + Advocate for… more
- TD Bank (New York, NY)
- …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 ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $275,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more