• Regulatory Compliance Testing Associate

    NatWest Markets (Stamford, CT)
    Regulatory Compliance Testing Associate LocationStamford,United States Job typePermanent Contract typeFull Time \#R-00249215 Our people work differently depending on ... **Swap Dealer Testing Associate** **2LOD** **This role is responsible for assessing compliance risks and controls within the Swap Dealer testing program. We are… more
    NatWest Markets (08/02/25)
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  • Compliance Governance & Operations Manager

    TD Bank (Portland, ME)
    …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,...competing priorities.** + **Proficiency with Microsoft Office applications.** + ** FINRA license Series 7, 63 &24** + **Life and… more
    TD Bank (07/26/25)
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  • Compliance Program Specialist - PNC…

    PNC (PA)
    …valued and have an opportunity to contribute to the company's success. As a Compliance Program Specialist within PNC Investments, you can be based in the PNC ... up on annuity contract reassignments with annuity carriers. + Implements compliance programs to prevent illegal, unethical, or improper business practices. Develops… more
    PNC (07/26/25)
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  • Director, Product Compliance Sr. Officer…

    Citigroup (New York, NY)
    …Citi program framework. **Responsibilities:** + Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities...the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to… more
    Citigroup (07/26/25)
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  • Compliance Program Analyst - Pre-Employment

    PNC (Pittsburgh, PA)
    …and have an opportunity to contribute to the company's success. As a Compliance Program Analyst, you will join the Pre-Employment team within PNC's Talent ... at manager's discretion. **Job Description** + Executes and analyzes established compliance programs to prevent illegal, unethical, or improper business practices. +… more
    PNC (07/25/25)
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  • Executive Director, Swap Dealer Compliance…

    CIBC (New York, NY)
    …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, training, ... surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer Compliance Officer...Experience as a regulatory examiner with SEC, NFA or FINRA (NFA or SEC Examiner of Swap Dealers a… more
    CIBC (07/25/25)
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  • Senior Compliance Officer - Customer…

    Truist (Charlotte, NC)
    …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of… more
    Truist (07/23/25)
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  • Sr. Advisor, PCG Compliance

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and ... guidance on industry rules, regulations, and firm policies, providing compliance education to new and existing PCG branch associates, conducting various surveillance… more
    Raymond James Financial, Inc. (07/23/25)
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  • Compliance Officer

    M&T Bank (Boston, MA)
    …Inc. is the institutional broker-dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role in promoting a culture of ethical ... conduct and commitment to compliance with securities regulation. You will have the opportunity...questions from firm personnel. + Research and interpret applicable FINRA , SEC, and other SRO rules as applicable to… more
    M&T Bank (07/23/25)
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  • Senior Manager, CIB & Research Compliance…

    Scotiabank (Houston, TX)
    Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...10b-5, securities offering regulations (`33 Act), information barriers, conflicts, FINRA rules such as Rule 2241 and the Global… more
    Scotiabank (07/23/25)
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