• Senior Compliance Officer…

    TD Bank (New York, NY)
    …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team ... surveillance function. Safeguarding the reputation of Compliance 's good governance depends on us. The Senior...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
    TD Bank (07/22/25)
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  • Trade Surveillance Associate…

    TD Bank (New York, NY)
    …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
    TD Bank (06/07/25)
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  • Director, Trade Surveillance - Data Quality

    TD Bank (New York, NY)
    …bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
    TD Bank (06/07/25)
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  • Senior Compliance Officer…

    Marex (New York, NY)
    …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will ... the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide… more
    Marex (05/31/25)
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  • Senior Compliance Officer…

    Marex (New York, NY)
    …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. +… more
    Marex (05/30/25)
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  • Compliance Risk Management Senior…

    JPMorgan Chase (New York, NY)
    …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and implement appropriate corrective actions + Partner with global/regional Surveillance teams in promoting our global program and its… more
    JPMorgan Chase (06/21/25)
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  • Advisory Compliance Officer - Fixed…

    Santander US (New York, NY)
    Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global ... communication skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance , the business… more
    Santander US (06/27/25)
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  • Sr. FCRM Officer , Corporate & Investment…

    TD Bank (New York, NY)
    …can provide you more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial ... financial crime risks of new products and mandates. The Senior FCRM Compliance Officer is...and audit requests. + Provide backup to general AML compliance functions such as surveillance reviews, section… more
    TD Bank (07/02/25)
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  • Senior Audit Manager, Audit Department

    Scotiabank (New York, NY)
    …Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused ... Senior Audit Manager, Audit Department **Requisition ID:** 229979...leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control… more
    Scotiabank (07/03/25)
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  • Senior Field Sales Executive

    Wolters Kluwer (Albany, NY)
    …focus of a Senior Field Sales Representative at Wolters Kluwer, Clinical Surveillance and Compliance (CSC), is to generate new sales revenue and meet/exceed ... Senior Field Sales Representative is responsible for the...Representative is responsible for the direct sale of Pharmacy Compliance solutions using expertise in the hospital marketplace, healthcare… more
    Wolters Kluwer (07/01/25)
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