- Robert Half Finance & Accounting (Cranbury, NJ)
- Description Our client, a rapidly growing pharmaceutical company, is seeking a Director of SEC Reporting to lead technical accounting operations and support its ... accounting, and biopharma industry standards. Key Responsibilities: Accounting & Compliance + Lead technical accounting and SEC ...& Compliance + Lead technical accounting and SEC reporting functions in compliance with GAAP,… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services are currently recruiting for an Associate Director of Compliance role for a $100+bn AUM Global Investment firm based ... SEC , FINRA, OSC, etc.) + Assist with AML compliance obligations and queries including investor onboarding and KYC...14 Licenses are advantageous. + Bachelor Degree. The Associate Director of Compliance role requires 3 days… more
- TD Bank (New York, NY)
- …Description:** TD Securities is seeking a highly experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …banking Functions including M&A, Debt and Equity Capital Markets. The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing ... this role. **Job Description:** We are looking for a Director , US Markets Compliance Advisory to join...the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC including Securities Act, Reg… more
- Merck (Rahway, NJ)
- …of personnel under their direction within the framework of Company policy. The Executive Director will be a manager of managers, with keen focus on coaching ... cross-functional development teams to enable pipeline decisions. The Executive Director , Biologics Analytical Research and Development (B-AR&D) is responsible for… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director -level candidate to lead the ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is...regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer...is to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security ... testing report get submitted to the Head of GBM&T Compliance Testing, Director of Swap Dealer and...within investment or commercial bank. + Familiarity with applicable SEC , CFTC, NFA rules applicable to international banks conducting… more
- NBC Universal (New York, NY)
- …to annual director and officer questionnaires to support disclosures in SEC filings + Support requests for entity-related documentation, including in relation to ... expected to be completed during 2025. The corporate governance manager will support all corporate governance and board of... will support all corporate governance and board of director matters for Versant. The role provides the unique… more
- TD Bank (New York, NY)
- …TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to assist with building a global Surveillance Quality Assurance program. The ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $135,000 - $190,000 USD TD is...to manage their regulatory risk. The Surveillance Quality Assurance Manager will work with the Director of… more
- Bank of America (New York, NY)
- …occasionally to leadership + Interprets rulings, laws, and regulations from a compliance and business control standpoint + Drafts, reviews, and/or negotiates complex ... as SIFMA, particularly relating to advocacy for new regulatory initiatives. + Director or Vice President-level position, to be determined based on experience.… more