- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... details for this role. **Job Description:** This Director - Compliance role will be a key member of the...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …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 ... specific details for this role. **Job Description:** This VP Compliance role will be a key member of the...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... details for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements to existing… 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 ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more
- Wells Fargo (New York, NY)
- …judgment while developing the knowledge to understand function, policies, procedures, compliance , and risk management requirements for the Securities Sales ... . **About this role:** Wells Fargo is seeking a Securities Sales Program Analyst to join the Rates &...hire. FINRA recognized equivalents will be accepted. + Specific compliance policies may apply regarding outside activities or personal… more
- Citigroup (Tampa, FL)
- The Securities & Derivative Intermediate Associate Analyst is an entry level position responsible for processing orders and transactions originating from trading ... to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …office practices, procedures, and methods. + Concepts, practices and procedures of securities industry and/or banking compliance , including suitability and other ... trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Some guidance is provided to… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** The Head of TD Securities Operational Risk Management, US Regulatory Remediation is responsible for regulatory ... capabilities and outcomes on behalf of TDSORM and TD Securities across Non-Financial Risk Management. + US based role...across the Global footprint, while also ensuring oversight and compliance with Policies and Standards Required experience: + 7… more
- Citigroup (Getzville, NY)
- …to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Identify project resources, ... for the group + Recommend and implement new systems and enhancements to securities processing procedures + Provide an in-depth analysis and develop solutions to… more