- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Eaton Corporation (Beachwood, OH)
- …regulatory requirements. **Job responsibilities** * Lead and manage all aspects of corporate securities compliance , including the review and drafting of all 1934 ... Senior Counsel, Corporate & Securities leads all securities legal activities including compliance with ...filings. * Provide legal support to the Chief Legal Officer and the Corporate Secretary on securities .… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- S&P Global (New York, NY)
- …executive compensation, compensation, health, benefits, and pensions. **Responsibilities:** + Ensure compliance with public company and securities law matters. + ... Secretary, and will lead a team of three attorneys, including securities , executive compensation, and benefits counsels. **Responsibilities and Impact:** The… more
- JPMorgan Chase (Jersey City, NJ)
- …boost efficiency and streamline processes! As a Workflow Developer on the Securities Services Operations Transformation team, you will be part of the Intelligent ... Solutions team within CIB - Securities Services Operations Transformation. Your role involves building low code/no code solutions for operations users to enhance… more
- SMBC (New York, NY)
- …the management of compliance risk. Advisory is represented by the Chief Compliance Officer as either a member or observer of various committees such ... regulators such as FINRA, NFA, CFTC and FRB. The Compliance Officer role may manage a coverage...**Role Objectives** + Provide regulatory advice and oversight of compliance with expertise in US securities , swaps… more
- MUFG (Irving, TX)
- …remotely one day. A member of our recruitment team will provide more details. The Compliance Officer will be a member of the Global Corporate & Investment ... Global Corporate & Investment Banking ("GCIB") business unit. **Roles and Responsibilities:** The Compliance Officer will assist in the management of a robust … more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99.790,00 - 190.995,00 _Please note that the Salary Range shown is ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...Internal Controls experience. + Strong understanding of applicable US securities regulations eg SEC 10b-5, securities offering… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the compliance program at an asset management firm in Manhattan,… more