- TD Bank (New York, NY)
- …the role which is outlined in the general summary below. **Job Summary:** The Compliance Business Oversight Manager provides advice, support and objective ... Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight ...lending activities of Wealth Banking. In this position, the Compliance Manager will provide guidance, leadership and… more
- Siebert Williams Shank (New York, NY)
- …and Responsibilities * Support compliance efforts related to supervisory oversight , training, e-mail surveillance, branch office exams, FINRA licensing and ... will assist with risk management, provide advice on and oversight of SWS's compliance with US securities...and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in… more
- Citigroup (Queens, NY)
- …team of over 50 FINRA-licensed colleagues responsible for the supervisory oversight of investments sales activity and client suitability across Wealth's ... Citigold/Citi Private Client Retail Branch Network. Candidate is responsible for establishing, maintaining, and supervising compliance with applicable securities… more
- Citigroup (New York, NY)
- …strength and differentiator for TTS and Citi, given the significant depth of the branch network and years of operating experience, many of them exceeding 100+ years. ... and Services' Third Party Management program. They will provide oversight of third party risk and robust execution of...ensure appropriate execution of third party controls and drive compliance with all applicable regulations, policies, and law in… more
- Morgan Stanley (New York, NY)
- …Banks clients including reviewing customer data and documentation to satisfy BSA/AML Compliance requirements. Provide oversight and supervisory support for CDD ... the organization Partner with the Second Line of Defense Global Financial Crimes Compliance teams to monitor client relationships on an ongoing basis and ensuring … more
- Cushman & Wakefield (New York, NY)
- **Job Title** Retail Operations Manager **Job Description Summary** Position supports a major financial services client in North America. The position will be ... delivery of engineering services to a portfolio of office and retail branch locations. The position will assist engineering management leadership in developing,… more
- TD Bank (Roslyn Heights, NY)
- …for own area and resolves operational issues/escalations within the Store + Ownership/ oversight of simple to complex daily branch administrative duties + ... supervises day-to-day team activities to ensure operational excellence and compliance with policies and procedures to mitigate risk and...and Sales objectives. In the absence of any other manager , the Store Supervisor is expected to manage the… more
- City of New York (New York, NY)
- …expenses and oversees budget expenses for the office's day-to-day functions. - Ensures compliance with citywide rules and oversight regulations and guidelines. - ... City's Mayor, Eric Adams is head of the executive branch of New York City's government. Mayor Adams has...include your cover letter under the "Message to Hiring Manager " field. Qualifications 1. Do you have a baccalaureate… more