- Vanguard (Charlotte, NC)
- We are seeking a seasoned compliance professional to lead monitoring and testing for our broker-dealer's Cash program, which includes banking-like features such as ... CC, NACHA rules, and FINRA oversight. You will design and execute compliance testing frameworks, conduct regulatory due diligence, and validate control effectiveness… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $185,000 - $225,000 USD TD is committed to providing fair ... details for this role. **Job Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York City. The ideal candidate must… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate must… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider ... Lending Program + Transactions with Affiliates Program + Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and… more
- Abbott (Sylmar, CA)
- …you dream of. + Employees can qualify for free medical coverage in our Health Investment Plan (HIP) PPO medical plan in the next calendar year. + An excellent ... for developing, updating and maintaining basic and routine elements of Abbott's compliance program at the franchise, business unit, divisional or corporate level. +… more
- Marex (New York, NY)
- …and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many ... For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance … more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is committed to providing fair ... can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in the… more
- Raymond James Financial, Inc. (Denver, CO)
- **Essential Duties and Responsibilities** + Provides compliance support for the RJTNA and RJTCNH business units. + Performs human resources management activities ... as participating in interviewing and selecting staff within RJTNA and RJTCNH Compliance department. + Plans, assigns, monitors, reviews, evaluates, and leads the… more
- Skanska (Queens, NY)
- Skanska is searching for a dynamic Unit DBE Compliance Officer. This is a great opportunity to start a career with a company that builds things that matter and ... is why our values support and drive our D&I efforts. The Unit DBE Compliance Officer will administer Skanska's DBE compliance program for the Civil Operating… more
- Skanska (Queens, NY)
- Skanska is searching for a dynamic DBE Compliance Manager. This is a great opportunity to start a career with a company that builds things that matter and values its ... which is why our values support and drive our D&I efforts. The Senior DBE Compliance Manager will take part in administering Skanska's DBE Compliance Program for… more