- Citigroup (New York, NY)
- The Senior Financial Officer for the Investor/Issuer LFO team, will support the development and execution of financial objectives related to revenues, ... initiatives and partnering across other functions and Finance disciplines. Lead Financial Officer (LFO) teams are Finance partners to the functions and… more
- HUB International (Chicago, IL)
- …appropriate. They will also prepare and file, in coordination with the Chief Accounting Officer , the Chief Financial Officer and our Investor Relations team, ... for reviewing the accuracy and completeness of the company's financial statements. + Responsibility for reviewing the terms of...on insider trading, market manipulation, and other violations of securities law. + Support the Chief Legal Officer… more
- TD Bank (New York, NY)
- …to help manage regulatory risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual contributor role ... recruiter who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- Dollar Tree (Chesapeake, VA)
- …Trading, Corporate Governance Guidelines). + In partnership with the Chief Accounting Officer and VP- Financial Reporting, prepare and/or review SEC filings, ... **Position Summary** The Vice President & Deputy General Counsel, Securities & Corporate Affairs, and Assistant Corporate Secretary is a senior legal leader… more
- S&P Global (Charlottesville, VA)
- …financial reporting and oversight responsibilities **Responsibilities:** **Public Company Securities Disclosure and Governance** : + Ensure compliance with public ... use):** 15 **The** **Role:** Associate General Counsel, Corporate & Securities - Mobility **The Team:** Join a best-in-class global...This position reports directly to the EVP, Chief Legal Officer and will be a core member of the… more
- TD Bank (New York, NY)
- …to help manage regulatory risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual contributor role ... US Compliance team is looking for an Associate candidate ( Senior Compliance Officer ) to join the new...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as ... in trade or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer -CIB **Reports to:** Director, Financial Crime Risk Oversight, TD ... Securities in developing, implementing, and maintaining a robust financial crime risk management ("FCRM") program that meets regulatory...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Auburn University (Auburn, AL)
- …Name** Planned Giving **Division Name** Senior VP, Advancement **Position Title** Senior Planned Giving Officer **Job Class Code** OA86, OA87, OA88 ... Advancement is excited to begin the search for a Senior Planned Giving Officer to join our...**Desired Qualifications** + MBA ,CPA ,CFP , JD,CLU + Financial planning, law, accounting, estate planning, securities ,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- The Senior Manager, AML uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in the securities ... or banking industry to administer and manage an assigned AML & Financial Crimes function. Ensures monitoring and internal controls are in place to manage compliance… more
- MTA (New York, NY)
- Senior Director - Debt Financing Job ID: 12102...well as special projects as determined by the Chief Financial officer from time to time. Responsibilities: ... Location: New York, NY, United States Regular/Temporary: Regular Department: Office of Financial Services Date Posted: Sep 24, 2025 Description JOB TITLE: Senior… more
- SMBC (New York, NY)
- …team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** + Provide compliance advice and ... other communications. + Support production of Annual Compliance Report and related senior officer certifications + Participate in evaluation and implementation… more
- Aegon Asset Management (Denver, CO)
- …to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life . ... United in our purpose, we help people create the financial freedom to live life on their terms. What...detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, the funds for… more
- Citigroup (New York, NY)
- …wealth management in the workplace through Citi Global Wealth at Work. The Senior Wealth Advisor will offer comprehensive financial and investment advice to ... our Citigold(R) and Citigold(R) Private Client segments. Senior Wealth Advisors have access to Wealth's leading investment...closely with a dedicated Wealth team to meet the financial needs of our Affluent and High-Net Worth clients,… more
- Securities and Exchange Commission (Washington, DC)
- …Information Technology is seeking applicants for a temporary promotion for the Senior Officer -Deputy Director (Managing Executive) located in Washington, DC. ... the office on key agency governance committees responsible for evaluating agency financial , IT, and enterprise risk operations. Uses strong political savvy and… more
- Securities and Exchange Commission (Washington, DC)
- …Information Technology is seeking applicants for a temporary promotion for the Senior Officer -Deputy Director (Managing Executive) located in Washington, DC. ... the office on key agency governance committees responsible for evaluating agency financial , IT, and enterprise risk operations. Uses strong political savvy and… more
- Federal Reserve Bank (Philadelphia, PA)
- …banks and bank and savings and loan holding companies, and provides financial services to depository institutions and the federal government. The Federal Reserve ... updates and discussion of supervisory matters with the Bank's senior management and Directors as appropriate in cooperation with...management and Directors as appropriate in cooperation with the Officer in Charge. + Staff hiring and development -… more
- Federal Reserve Bank (Philadelphia, PA)
- …banks and bank and savings and loan holding companies, and provides financial services to depository institutions and the federal government. The Federal Reserve ... and Delaware. The Consumer Finance Institute (CFI) seeks a well-trained and motivated senior research assistant to support the research of its staff and visiting… more
- Citigroup (Boca Raton, FL)
- …limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer , etc.) + Acquire new clients through converting referral leads. + Manage client ... The Senior Wealth Advisor SAFE Act is a seasoned...in PWM and Retail bank through the use of financial planning and excellent discovery and profiling skills +… more