- 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 ... more
- Stitch Fix (San Francisco, CA)
- …shareholder meeting + Develop and maintain policies and procedures to ensure compliance with SEC and other securities -related regulatory requirements applicable ... more
- S&P Global (New York, NY)
- …executive compensation, compensation, health, benefits, and pensions. **Responsibilities:** + Ensure compliance with public company and securities law matters. + ... more
- Netflix (Los Angeles, CA)
- …Governance ("ESG") reporting. Responsibilities + Support various corporate governance and securities matters, including SEC and NASDAQ compliance , and capital ... more
- Federal Reserve Bank (Philadelphia, PA)
- …education. **What You Will Do:** The intern will assist the RADAR Securities Evaluation Services (SES) team within Supervision. This team focuses on topics ... more
- Toyota (Plano, TX)
- …and compliance support in the areas of corporate transactions, securities /capital markets, and corporate governance. The primary responsibility of this role is ... 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 ... 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 ... more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for Public ... more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... more
- US Bank (Milwaukee, WI)
- …Deputy Chief Compliance Officer and focus on various aspects of GFS' compliance with various securities laws and regulations as well as tackling larger ... more
- City National Bank (Los Angeles, CA)
- * COMPLIANCE OFFICER * WHAT IS THE OPPORTUNITY? The Compliance Analyst will work to review a variety of employee compliance requests to ensure that they ... more
- Santander US (New York, NY)
- VP- Bank Regulatory Compliance Officer New York, United States of America USA Job Family Description: Vice President, Bank Regulatory Compliance Advisory ... more
- CalSTRS (Sacramento, CA)
- Job Posting: Legal Compliance Filing Officer State Teachers' Retirement System JC-471274 - Legal Compliance Filing Officer ASSOCIATE GOVERNMENTAL PROGRAM ... more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... 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 ... more
- Santander US (New York, NY)
- Compliance Officer - Markets Business Line Advisory Compliance New York, United States of America USA Job Family Description: You will provide real-time ... more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance . + Rules and regulations of the ... more