- 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 ... can provide you more specific details for this role. **Job Description:** This Director - Compliance role will be a key member of the TDS US Compliance … 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 ... who can provide you more specific details for this role. **Job Description:** This VP Compliance role will be a key member of the TDS US Compliance Regulatory… 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
- NextEra Energy (Juno Beach, FL)
- …our customers and stakeholders. Our team is skilled in market analysis, trading , risk management and delivering tailored customer solutions across North America. If ... fast-paced energy industry, join our team today. **Position Specific Description** The Trading Risk Management team is seeking a talented, experienced Credit Risk… more
- Bank of America (New York, NY)
- …inspecting and appropriately delegating team work. **Skills:** + Advisory + Monitoring, Surveillance , and Testing + Regulatory Compliance + Reporting + Risk ... Compliance and Operational Risk Manager- Foreign Exchange Coverage...support to the Global Foreign Exchange and Local Currency Trading ("FX and LCT") Front-Line Unit with regards to… more
- Citizens (Stamford, CT)
- …Association (NFA). The Compliance Officer will work closely with senior compliance officers to monitor trading activity, review policies and procedures, and ... regulatory requirements under the Commodity Futures Trading Commission (CFTC) and National Futures...dynamic environment. Key Responsibilities + Conduct trade and communications surveillance , compliance testing, and escalate potential issues.… more
- Robert Half Finance & Accounting (Houston, TX)
- …and regulatory updates. + Monitoring and Surveillance : Conduct regular surveillance and monitoring of trading activities, electronic communications, and ... Description THE OPPORTUNITY We're seeking a Senior Compliance Associate with a robust background in securities...Compliance Associate with a robust background in securities compliance to join our wealth management client. The ideal… more
- JPMorgan Chase (Tampa, FL)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers, and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...quo and striving to be best-in-class. As a Trade Surveillance Vice President on the Specialized Testing Team within… more
- Insight Global (Dallas, TX)
- …AML, insider trading , and cybersecurity. *Implement, manage, and optimize compliance technology platforms to automate surveillance , reporting, and testing ... seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in...space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the… more
- Huntington National Bank (Columbus, OH)
- …including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus on Investment ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical...Banking, Public Finance, M&A as well as Sales and Trading activities. + Oversight and Governance of OCC Rules… more