- HUB International (New York, NY)
- …mergers and acquisitions. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a highly visible,...and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act… more
- Guardian Life (New York, NY)
- …and securities regulations. + Support the development of the compliance team's data analytics abilities by promoting collaboration and identifying opportunities ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...Do you want to be part of a collaborative Compliance Legal Team? As a Data Analyst in … more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …experience, specialized training and/or certification in the banking industry to ensure compliance with all banking rules and regulations. Coordinates compliance ... analyze and resolve complex issues. **Essential Duties and Responsibilities** + Oversees compliance program for an assigned business entity to ensure compliance … more
- Louisiana Department of State Civil Service (LA)
- Compliance Examiner 1-4 Print (https://www.governmentjobs.com/careers/louisiana/jobs/newprint/4930974) Apply Compliance Examiner 1-4 Salary $3,345.00 - ... offices: Baton Rouge, New Orleans, Lafayette, Alexandria, Shreveport and Monroe. Compliance Examiners employed by the Office of Financial Institutions may conduct… 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 ... more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance ...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- MUFG (Irving, TX)
- …Are you a hard-working and resourceful candidate interested in pursuing a career in compliance and the banking industry? This opportunity might be right for you. As ... part of the Compliance Analyst Program, the Analyst will work closely with...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Thrivent Financial (Minneapolis, MN)
- …/investment knowledge. + Basic experience with investment management-related compliance /audit methodologies and regulatory. issues associated with the SEC, ... tomorrow. Job Summary This position is responsible for providing portfolio compliance oversight for Thrivent's General Account, mutual funds, and other investment… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- DuPont (Wilmington, DE)
- …internal audit function with primary focus on IT audits and Sarbanes-Oxley (SOX) compliance . This position requires a strategic thinker to design and lead audits of ... best practices, and providing management with actionable recommendations that drive compliance and operational excellence. This is an onsite position. Team members… more