- 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
- 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
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... This is a newly created role on the TD Securities US Core Compliance team that will...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Equitable (Charlotte, NC)
- Compliance Officer ( 25000075 ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... is based in our Charlotte, NC office. Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance , which is a part… more
- SMBC (Jersey City, NJ)
- …Program Manager will join the Compliance Administrative Office supporting the Chief Compliance Officer (CCO) for the Americas Division, playing a key role in ... Crime Compliance . **Role Objectives** + Provide support to the Chief Compliance Officer in managing departmental strategic initiatives. + Develop and deliver… more
- Edward Jones (St. Louis, MO)
- …of applicants. THIS POSITION IS LOCATED IN SALT LAKE CITY, UTAH. The Chief Compliance Officer (CCO) of Edward Jones Bank is responsible for designing, building ... and knowledge of financial and banking products. + Experience as a Chief Compliance Officer with Utah chartered ILCs. + Certified Regulatory Compliance… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance .** ... for supporting the following coverage areas: + Business Aligned Compliance Officer (BACO) for the Strategic Relationship...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Santander US (New York, NY)
- Compliance Officer - Markets Business Line Advisory Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global leader ... Want to Talk to You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading… more
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo ... As part of the RCIM team, the Senior Lead Compliance Officer will lead several critical tasks...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role within ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO) who will serve as...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more
- US Bank (Milwaukee, WI)
- …experience Preferred Skills/Experience * Eight or more years of experience in a compliance or financial industry related role, preferably securities related * ... RSS will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual...under the Investment Company Act of 1940 and the Securities and Exchange Commission (SEC). This position will assist… more