- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Head of Compliance Culture will oversee and lead the firm's Culture of Compliance ... + Lead the development and execution of the centralized culture of compliance program, including the creation and maintenance of the communication, awareness, and… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $185,000 USD TD is committed to providing fair ... We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The...with the ability to assess firm impact. Specifically, FED, FINRA , SEC, CFTC, NYSE, and OCC. + Excellent oral… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering… more
- Scotiabank (New York, NY)
- Manager, Compliance Testing **Requisition ID:** 223397 **Salary Range:** 90,000.00 - 167,200.00 _Please note that the Salary Range shown is a guideline only. Salary ... every future! **Overview** Contributes to the overall success of the GBM&T Compliance Department in the US ensuring specific individual goals, plans, initiatives are… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …communications and applies them accordingly. + Coaches, trains, and mentors less experienced Compliance Specialists. + May serve as a "team lead" for more junior ... compliance associates including potentially assisting in the talent selection...the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies; and/or Federal Deposit… more
- US Bank (Knoxville, TN)
- …Line of Defense (FLOD) for Consumer and Business Banking (CBB), the CBB Compliance Team collaborates with business units, risk teams, and SLOD partners to manage ... controls. Objectives are achieved by regularly assessing and ensuring compliance with relevant risks and controls. RESPONSIBILITIES - Partners...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Vanguard (Charlotte, NC)
- …Vanguard's Cash+ Program is a first-of-its-kind offer, and we're looking for a Compliance Specialist to help establish the monitoring and testing function that will ... it. In this role, you'll not only build the compliance foundation for a new product but also influence...requirements (eg, Regulation CC, Regulation E, NACHA, etc.,) + FINRA Series 7 and Series 24 licenses and/or CRCM… more
- Edward Jones (St. Louis, MO)
- …Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000 ... a team of associates responsible for administering a risk-based compliance program intended to provide reasonable assurance to the...Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding… more
- SMBC (New York, NY)
- …**Role Description** Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our Compliance Department Policies Team. ... stakeholders within the Americas Division (AD) to develop, communicate, and manage compliance policies that support our strategic objectives. You'll also lead key… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more