- 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
- HSBC (Buffalo, NY)
- … risks. Experience in assurance or audit roles preferred. Experience in securities compliance is a plus + Preferably bachelors/master's in accounting, ... team of global professionals. As our Audit Manager, Regulatory Compliance , Conduct and Legal (RCCL) Audit you will: +...US RCCL Audit team on matters related to Regulatory Compliance and Legal risk frameworks, Data Analytics etc +… 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:** $120,000 - $190,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… 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 administer and manage ... skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage… more
- BeOne Medicines (Cambridge, MA)
- …US securities lawyer to join our growing Legal and Compliance team to support our global, commercial-stage biotechnology company that is triple-listed ... of the Company's equity plans and programs and grant agreements, including securities law compliance and disclosure. + Assist with the development and upkeep of… more
- NetApp (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
- KeyBank (Brooklyn, OH)
- …equivalent experience + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes regulatory requirements. Support the AML Enterprise Team… more
- KeyBank (Brooklyn, OH)
- …Bachelor's degree + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... task forces and line of business partnerships to identify and manage compliance risks with assigned regulatory topics. Support the organization in strategic… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …through experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking ... through experience, specialized training, and/or certification in project management, information compliance risk management, and the securities and/or banking… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more