- TD Bank (New York, NY)
- **Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is ... strong risk culture and comprehensive approach to managing regulatory compliance risk. This Director - Compliance...10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but… more
- TD Bank (New York, NY)
- **Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is ... more specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of...Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional… more
- Citigroup (New York, NY)
- …Family:** Audit **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:** $170,000.00 - ... 's efforts to validate strategic firmwide transformation initiatives related to the Compliance Risk Management Framework. As a Director covering Compliance… more
- Mizuho Corporate Bank (New York, NY)
- Join the Mizuho team! As the Director of Compliance Technology Modernization, you will be at the helm of a transformative journey-redefining how compliance ... is a rare opportunity to lead the modernization of mission-critical compliance screening platforms, transitioning legacy systems into agile, cloud-native solutions… more
- Scotiabank (New York, NY)
- Director , Markets Compliance Officer...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New ... Trading businesses by acting as a team leader for Markets Compliance . **What You'll Do** + Acting...team. + Communicate with sales and trading management and US Compliance personnel on relevant compliance… more
- Ross Stores, Inc. (New York, NY)
- …with continuous learning opportunities and development for our teams\. **GENERAL PURPOSE:** The Director , Product Compliance & Regulatory Attorney will work as a ... and ideas of those who work and shop with us because our differences make us stronger\....Dublin, CA, we have 3 buying offices in key markets in New York City, Los Angeles, and Boston,… more
- SMBC (New York, NY)
- …with global stakeholders and regional Volcker Offices on various aspects of Volcker compliance . The Director will be responsible for rigorously supporting the ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… more
- TD Bank (New York, NY)
- **Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is ... seeking a highly experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing and mitigating conflicts of… more
- Citigroup (New York, NY)
- …risk appetite and protects the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to partner ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities...Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- CIBC (New York, NY)
- …FIA). **Who You Are:** + 4-year undergraduate degree; + Minimum 5-7 years of capital markets Compliance or Legal experience (two years or more of Swap Dealer ... of solutions to address existing and new regulatory requirements; + Coordinating US regulatory exams, compliance exams and audits by Internal Audit;… more