Director, Equities Compliance & Regulatory Oversight
Bank of Montreal
Bank of Montreal is looking for a Director of Equities Compliance in New York, NY. This role focuses on ensuring compliance for equity activities while providing advisory services to the business units. You will monitor developments, engage with traders, and manage compliance frameworks. The ideal candidate will have at least 5 years of relevant experience and a strong knowledge of equity market activities. Benefits include health insurance, tuition reimbursement, and more. #J-18808-Ljbffr Bank of Montreal
$112.2k - $209k
Position Overview The Director of Equities Compliance will assist in the effective implementation, maintenance... ...internal business partners to ensure regulatory and corporate obligations are met. This role focuses on compliance oversight over BMO's Capital Markets equity...Employment EquityRegulatoryPart timeLocal area$112.2k - $209k
...Family Group:Audit, Risk & ComplianceThe Director of Equities Compliance will assist in the effective... ...internal business partners to ensure regulatory and corporate obligations are met. This... ...have a specific focus on compliance oversight over BMO’s Capital Markets equity...Employment EquityRegulatoryContract workPart timeLocal area- ...this role. Line of Business: Compliance Job Description: This role... ...role in ensuring adherence to regulatory requirements such as... ...Summary: The Compliance Business Oversight Manager provides advice, support... ...eligibility for cash and/or equity incentive awards, generally...Employment EquityRegulatoryFull timeWork experience placementH1bWork at officeLocal areaWork from homeFlexible hours2 days per week
- Une institution financière recherche un Directeur de la Conformité pour superviser les activités liées aux valeurs mobilières à New York. Le candidat idéal doit avoir au moins 8 ans d'expérience en conseil réglementaire et en conformité. Ce rôle implique de fournir des ...Employment EquityRegulatory
$176k - $220k
...are looking for an Associate Director, Compliance Issue Management to own how... ..., audit-ability, or regulatory defensibility. This role is... ...automation helps and where human oversight is non-negotiable. Comfort... ..., and vision Company equity 401(k) plan with company match...Employment EquityRegulatoryFull timeLocal areaRelocation packageFlexible hours2 days per week3 days per week$228k - $233k
...to grow. Job Overview The Director, Global Regulatory Affairs leads Protara’s ex... ...from other areas. Assure compliance with regulations and with... ...industry standard practices. Oversight of CROs in the management... ...including incentive bonus, equity compensation, matching 401...Employment EquityRegulatoryLocal areaRemote workFlexible hours$112.2k - $209k
...Alliance for Career Enhancement in New York is seeking a Director of Equities Compliance to manage the Capital Markets Compliance Program. The... ...compliance guidance, conducting risk assessments, and ensuring regulatory obligations are met. Ideal candidates will have...Employment EquityRegulatory$160k - $200k
...future together. The Crown Is Yours As a Regulatory Compliance Director, you’ll play a critical role in... ...compliance, market regulation, or regulatory oversight within a Designated Contract Market,... ...00 USD - 200,000.00 USD, plus bonus, equity, and benefits as applicable. Our...Employment EquityRegulatoryFull timeContract workImmediate start$180k - $225k
...candidate must possess extensive compliance advisory experience supporting equities sales and trading businesses, with... ...an understanding of the unique regulatory and supervisory considerations applicable... ....*\*General Job Description:*The Director Compliance TDS oversees/leads a...Employment EquityRegulatoryWork experience placement$185k - $225k
...America Hours: 40 Line of Business: Compliance Pay Detail: $185,000 - $225,000 USD... ...department is looking to hire a Director to join our Equities Compliance Advisory team in our New... ...with an understanding of the unique regulatory and supervisory considerations applicable...Employment EquityRegulatoryWork experience placementWork at officeLocal areaFlexible hours$160k - $175k
..., implement, and oversee the healthcare compliance program to ensure adherence to state and... ...each applicable state. Monitor evolving regulatory changes and provide strategic guidance... ...personal days and summer flex time Company equity Bonus program 401(k) plan with company...Employment EquityRegulatorySummer workWork at officeRemote workFlexible hours3 days per week- Molina Healthcare is seeking a lead for their multi-state delegation oversight. The role involves managing vendor relationships, ensuring compliance with regulatory requirements, and overseeing audits. You'll collaborate with internal teams, set strategic directions, and...Regulatory
$176.4k - $228.25k
...Neura Market is seeking a Manager/Director of CMC Regulatory Affairs to lead the development and implementation... ...clinical research and ensuring compliance with global regulatory standards.... ...$176,400 to $228,250, with potential for bonuses and equity. #J-18808-Ljbffr...Employment EquityRegulatoryRemote work$81.12k - $133.38k
...Water, we are committed to pay equity. In addition to... ...rules and regulations to ensure compliance with pertinent state and federal... ...outside of the organization - key regulatory officials and company... ...responsibility. This includes oversight of all required monitoring...Employment EquityRegulatoryWork at officeLocal areaRemote work$180k - $225k
...Preferred Qualifications: This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S.... .... General Job Description The Director Compliance TDS oversees/leads... ...clients access to a premier U.S. equities business and highly‑diverse equity...Employment EquityRegulatoryWork experience placementLocal areaWork from homeFlexible hours$180k - $225k
...Director - Bank Regulatory Compliance Officer, TD Securities (US)Skip to main contentWe and selected third parties use technologies and tracking tools... ...Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise,...Employment EquityRegulatoryWork experience placementLocal areaWork from homeFlexible hours$93.8k - $143.8k
...Manager, Corporate Environmental Compliance provides enterprise-level environmental compliance oversight, technical direction, and... ...permitting, recordkeeping, and regulatory submissions. Maintain and guide... ...certificates, and internal equity. This range is specific to New...Employment EquityRegulatoryWork at officeLocal area$255k - $300k
...so are the rewards. The Robinhood Derivatives (RHD) Compliance team oversees regulatory compliance for our futures, event contracts, and options... ...compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching Best in class benefits...Employment EquityRegulatoryWork at officeFlexible hoursShift work$180k - $280k
...growing fast, and this is the first dedicated compliance hire at Qualitate. The Role You’ll... ...public sector, including at government regulatory bodies such as the SEC. Experience... ...$180K–$280K depending on experience. Equity: Meaningful early-stage grant with...Employment EquityRegulatoryFull timeContract workFlexible hours$109.3k - $182.1k
...NY. Overview: Complete Compliance Risk Management... ..., detect and mitigate regulatory and compliance risk across... ...Responsibilities: Provide compliance oversight, support and guidance... ...to the Compliance Director and/or the Lines of... ...and Practices Private equity and private placements...Employment EquityRegulatoryWork experience placementWork at office- ...seeking an experienced and dynamic Head of Regulatory Affairs to join our team at Merkle... ...implement regulatory strategies to ensure compliance with global, regional, and local regulatory... ...compensation, along with generous equity. As a rapidly growing business, there are...Employment EquityRegulatoryLocal areaFlexible hours
$212k - $230k
Director, Governance, Risk, and Compliance (GRC) Remote - USA At Clover, the Business Enablement team leads our... ...Clover’s security risk posture, regulatory compliance readiness, and resilience... ...‑Being : Competitive base salary, equity opportunities, performance‑based...Employment EquityRegulatoryTemporary workFixed term contractWork at officeImmediate startRemote workFlexible hoursShift work$130k - $170k
...powerful solution built around your home equity. Backed by top-tier venture capital,... ...Overview We are looking for a seasoned compliance professional to own and operate Trovy's... ...helping Trovy move fast while managing regulatory risk with rigor across our lending and card...Employment EquityRegulatoryWork from homeFlexible hours$246.33k - $304.29k
...Regulatory Affairs Remote – ID: 25R-27 – Full-Time/Regular This position... .... We are seeking a Senior Director, Regulatory Affairs to play a... ...resource allocation. Labeling, Compliance & Lifecycle Management... ...(if applicable), as well as equity. Additional benefits include...Employment EquityRegulatoryFull timeWork at officeRemote workRelocationFlexible hours- ...may support and/or provide oversight, commentary, and strategy analysis... ..., and contribute to regulatory and internal risk reporting.... ...Oversight, and Regulatory Rule Compliance* Identify opportunities to streamline... ...eligibility for cash and/or equity incentive awards, generally...Employment EquityRegulatoryWork experience placementLocal areaWork from homeFlexible hours
$105k - $130k
...Asset Management Guideline Oversight (AMGO) group is a critical part... ...remain compliant with regulatory, prospectus, client, and internal... ..., including Private Equity (Primary, Secondary, and Co-... ...NB Alternatives to oversee compliance and guideline monitoring across...Employment EquityRegulatoryWork experience placementWork at officeLocal areaShift work$94k - $127k
A financial services firm is seeking a Compliance Officer to oversee the Swap Dealer Compliance... ...program reviews, and responding to regulatory inquiries. Candidates should hold a Bachelor... ...with additional performance bonuses and equity options. #J-18808-Ljbffr Framework...Employment EquityRegulatory$176.4k - $228.25k
...development and implementation of CMC regulatory strategy for small molecule investigational... ...The Team You’ll Join As Manager/Director CMC Regulatory Affairs you will be an essential... ...be eligible for an annual bonus and equity compensation, as well as a comprehensive...Employment EquityRegulatoryLocal areaRemote workWork from homeWorldwide$190k - $215k
Governance, Risk & Compliance (GRC) Manager Sigma is seeking an experienced... ...governance, and control oversight Establish and maintain... ...monitoring programs to track regulatory changes and work with the legal... ...package. Benefits Equity Generous health benefits Flexible...Employment EquityRegulatoryContract workWork at officeRemote workFlexible hours$116.5k - $173.25k
...Summary Reporting to the Director, Product & Operational Risk Oversight, the Manager, Product... ...programmatic or risk oversight, compliance, internal audit, or... ...of relevant regulatory requirements and industry... ...annual performance bonus, equity, or other incentive compensation...Employment EquityRegulatoryLocal areaFlexible hours
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