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TD Bank
New York
**Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $160,000 - $187,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in makin
Job Source: TD BankTD Bank
New York, NY, United States
Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $160,000 - $187,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensati
Job Source: TD BankSumitomo Mitsui Banking Corporation (SMBC)
Jersey City, NJ, United States
SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial
Job Source: Sumitomo Mitsui Banking Corporation (SMBC)Atlantic Group
New York, NY, United States
Location: Midtown Manhattan Compensation: $200k-$250k base + bonus Our client, a $7 billion+ AUM real estate private equity firm is seeking a Vice President, Compliance to join their Legal and Compliance team. Responsibilities will include: Review marketing materials for compliance purposes Review client communications and sales materials Draftin
Job Source: Atlantic GroupConfidential
Jersey City, NJ, United States
Vice President Compliance Training About the Company Globally-recognized banking group Industry Banking Type Subsidiary of a Public Company Founded 1996 Employees 10,001+ Categories Financial Services Consulting & Professional Services Banking & Mortgages Banking Finance Specialties Advisory Capital Markets & Investment Banking Corporate & Instit
Job Source: ConfidentialConfidential
New York, NY, United States
Chief Compliance Officer & Vice President About the Company Thriving financial marketplace providing liquidity solutions for private market investors & institutions Industry Financial Services Type Privately Held, VC-backed Founded 2014 Employees 201-500 Funding $200+ million Categories Internet Banking CEOs and Executives Finance Technology Finan
Job Source: ConfidentialSocial Capital Resources
New York, NY, United States
Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office! Responsibilities: Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirement
Job Source: Social Capital ResourcesConfidential
Jersey City, NJ, United States
Vice President, Employee Compliance Officer About the Company Globally-recognized banking group Industry Banking Type Subsidiary of a Public Company Founded 1996 Employees 10,001+ Categories Financial Services Consulting & Professional Services Banking & Mortgages Banking Finance Specialties Advisory Capital Markets & Investment Banking Corporate
Job Source: ConfidentialNew York, NY, United States
Job Description
This Vice President – Compliance Monitoring and Testing
The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.
Compliance Monitoring and Testing
Execute the annual Compliance testing and monitoring plan
Determine scope of reviews
Prepare cohesive workpapers for each test in accordance with firm standards.
Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of
report issuance.
Prepare reports for management that highlights the scope, testing approach and the overall results and
findings of the compliance testing review.
Execute Branch Inspections
Oversee remediation of gaps identified in the testing process
Support issues management development and tracking of Compliance-identified findings
Participate in special projects as they arise to enhance compliance functions
Preferred Qualifications
7 or more years of experience with a registered US broker dealer or regulator.
Email Alert for Vice President Compliance Monitoring jobs in New York, NY, United States
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