- Raymond James Financial, Inc. (New York, NY)
- …with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering ... **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules...and procedures of securities industry and/or banking compliance . + Rules and regulations of: Securities … more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Huntington National Bank (Columbus, OH)
- …limited to: + Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program ... at like size or larger organization. + 10+ years of progressively responsible compliance / securities industry experience required. + Series 7 and 24 with the… more
- Raymond James Financial, Inc. (Denver, CO)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage ... AWS Redshift, SQL, Oracle, Excel * Concepts, practices, and procedures of securities industry and/or banking compliance reviews. * Fundamental investment… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- NetApp (Morrisville, NC)
- …will report to our Director, Corporate Legal. **Job Responsibilities:** + Handle securities law compliance , disclosure, and reporting under federal securities ... and investment matters + Maintain programs and policies to ensure compliance with securities -related regulatory requirements, NASDAQ listing standards,… more
- TD Bank (New York, NY)
- …Bachelor's degree with progressive work experience + 5-7 Years of related experience (in Compliance ) **Who We Are** TD Securities offers a wide range of capital ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- The Hartford (Hartford, CT)
- …applies to information ultimately used in making investment decisions, transacting securities , exercising compliance and controls over investment processes, and ... of HIMCO, including, Investment Sectors, Portfolio Management, Trading, Legal, Compliance , Accounting and Technology teams through daily investment process support,… more