- 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
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... functional knowledge. + Develop and present Oversight program materials to senior management. + Provide regulatory compliance risk expertise and consulting… more
- 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 (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
- 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
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance ... line of defense. Also responsible for performing assessments of Citi's compliance risks; performing independent testing activities (testing and monitoring) within… more
- MyFlorida (Gainesville, FL)
- CORRECTIONAL PROBATION SENIOR OFFICER - 70012810 Date: Oct 1, 2025 The State Personnel System is an E-Verify employer. For more information click on our E-Verify ... Requisition No: 862200 Agency: Department of Corrections Working Title: CORRECTIONAL PROBATION SENIOR OFFICER - 70012810 Pay Plan: Career Service Position… more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- HUB International (New York, NY)
- …limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, reporting directly ... into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership...Adviser Act of 1940; + Assist in conducting ongoing compliance reviews, internal investigations and surveillance to… more
- Huntington National Bank (Columbus, OH)
- …Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director for investment ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play...implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus… more