- MUFG (Irving, TX)
- …is seeking a Vice President for the Americas Privacy and Information Handling Compliance Team which supports MUFG Americas, including the US, Canada, and Latin ... information, and implementing appropriate changes to existing policies, standards and compliance programs based on legal and regulatory developments. + Participating… more
- NetApp (San Jose, CA)
- …and Employment; Government Relations; Data Privacy and Governance; Global Trade Compliance ; Litigation; Corporate and Securities . **Job Requirements** * ... for a legal career * A passion for evangelizing integrity, ethics, and compliance . * Cross-cultural sensitivity and intellect * Strong negotiation skills and ability… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $135,000 - $170,000 USD TD is committed to providing fair ... VP, US Finance, US wholesale corporate accounting **Business Unit:** TD Securities **Division/Region:** TD Securities USA (New York) **Report Location:**… more
- TD Bank (New York, NY)
- …solutions that support scalable, secure, reusable solutions across the Compliance , Surveillance and Supervision area. Responsibilities include planning, designing, ... requires experience within the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including trading… more
- Capital One (Chicago, IL)
- Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid) Capital One's Audit function is a dedicated group of professionals focused on ... of the Audit team, the candidate will focus on operations of investment ( securities and transactions). Responsibilities: + Lead small audits, or own completion of… more
- Janus Henderson Investors (Denver, CO)
- …monitoring and periodic testing + Administer periodic employee certifications through compliance management system + Provide data and reporting around ethics, ... conduct and compliance issues to internal and external clients + Research...our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including… more
- MUFG (Irving, TX)
- …Delivery (DIA-ID) team, which is part of the GFCD Operations Financial Crime Compliance - Data Analytics (FCC-DA) function, this new position has been created for ... in business intelligence or data analytics, preferably in Financial Crime compliance , internal to MUFG, another global financial institution or FinTech firm.… more
- JPMorgan Chase (Jersey City, NJ)
- …process efficiency, and operational excellence. As an Asset Servicing Analyst in Securities Operations within Markets Asset Services, you play a vital role in ... corporate action events that affect both client and firm securities holdings. You will collaborate with internal teams, custodians,...teams, custodians, and clients to minimize risk and ensure compliance with firm standards. In this role, you will… more
- TD Bank (New York, NY)
- …Description:** **Position Title:** Vice President - Finance **Business Unit:** TD Securities **Division/Region:** TD Securities USA (New York) **Report ... **Hours:** M - F 8:30 - 5:00 Overview TD Securities US Finance is a part of the wider...+ Manage Governance related tasks/mandate and work closely with Compliance and 1B business partners to understand and satisfy… more
- JPMorgan Chase (New York, NY)
- …solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed ... other lawyers across JPMorgan's legal department, as well as compliance , risk, conflicts and operations partners. If you are...on all relevant legal and regulatory matters and relevant securities laws applicable to public and private offerings of… more