- SMBC (New York, NY)
- …Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + ... skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7, 24, 79 a plus. SMBC's… 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)
- …and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units ... challenge. + Maintain and update procedures, templates and tools as required. + Assist Compliance testing with test execution that contributes to the overall … more
- TD Bank (New York, NY)
- …+ Communicate deficiencies to key stakeholders and exercise credible challenge. + Assist Compliance testing with test execution that contributes to the overall ... is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… more
- CIBC (Chicago, IL)
- … Manager . **Who You Are** + You have 5+ years' experience in regulatory compliance , risk management, or compliance audit/ testing role with a large banking ... visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing** The Regulatory Compliance Management (RCM) Officer will assist in the implementation… 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:** This Director - Compliance role will be a key member of the...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… 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...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… more
- Amazon (San Francisco, CA)
- …Key job responsibilities We are looking for a seasoned Product Manager to lead Amazon Music Label and publisher royalty initiatives. This ... decisions. We're aligning on automation logic for global royalty compliance - not glamorous, but game-changing. 12:30 PM -...pong match. It's our favorite way to decompress and swap "what if" product ideas. 2:00 PM - Label… more
- UMB Bank (Kansas City, MO)
- …front-office confirmations. + Ensure timely settlement of FX spot, forward, swap , and option transactions. Reconciliation & Investigations + Perform daily ... internal teams. + Maintain accurate records for audit and regulatory purposes. Compliance & Risk Control + Ensure adherence to internal risk controls, operational… more
- Bank of America (Charlotte, NC)
- …regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities. Key responsibilities include overseeing and ... sourcing automation projects by communicating reporting requirements, performing UAT testing , and other activities as needed. + Manage cross-report/cross-schedule… more
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