Head of Compliance Monitoring & Testing
TD Bank Group
TD Securities in New York seeks a VP, Compliance to lead the Monitoring & Testing program within Core Compliance for U.S. and select global businesses. The role oversees a team of specialists providing regulatory guidance and risk management, ensuring rigorous testing and coverage across lines of defense. The role requires the ability to collaborate with global partners, manage multiple work streams, and communicate effectively with senior management. #J-18808-Ljbffr TD Bank Group
- ...organization is seeking an experienced Chief Compliance Officer (CCO) to lead the company’s... ...AML, CTF, sanctions, KYC/KYB, transaction monitoring, and regulatory reporting. Manage the... ...controls, risk assessments, monitoring, and testing programs. Lead regulatory...SuggestedRelocation
- ...Senior Vice President, Head of Compliance About the Company Accomplished provider of personal loans & related services Industry... ...for ensuring that compliance policies, procedures, monitoring, testing, training, and governance activities are effective and aligned...Suggested
$175k - $195k
...Tools & Strategy for High-Performing Consultants Compliance Monitoring Manager - Capital Markets Our client, one of... ...hires in this specialist Compliance Monitoring & Testing group. You will report directly into the US Head of Compliance Monitoring & Testing. The...SuggestedFull time$200k - $290k
...) Please review the following job description: The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist... ...control framework, surveillance program(s), and periodic testing/monitoring to identify, escalate, and remediate compliance risks; ensure...SuggestedFull timePart timeWork experience placementWork at officeShift workDay shift$220k - $270k
Head of Monitoring & Surveillance Compliance Officer - Director, CA CIB Americas (New York, NY) Summary: The Head of Monitoring and Surveillance Americas... ...the development and implementation of monitoring and testing routines relating to Capital Markets rules and regulations...SuggestedWork at office- About this role The Cardiac Monitoring Technician II is responsible for the interpretation... ...to require or administer a lie detector test for employment. Violators are subject to... ...testing is to increase workplace safety in compliance with the applicable law. Job Segment:...Hourly payWork experience placementWork at officeLocal areaRelocationRelocation packageShift workNight shiftDay shiftWeekday work
- About this role The Cardiac Monitoring Technician I is responsible for the interpretation and... ...to require or administer a lie detector test for employment. Violators are subject to... ...is to increase workplace safety in compliance with the applicable law. Job Segment: Night...Hourly payWork experience placementWork at officeLocal areaRelocationRelocation packageShift workNight shiftDay shiftWeekday work
$110k - $120k
...Job Description: Position Summary Guggenheim Securities ("GS") is seeking to hire a Monitoring and Testing Associate to join its Compliance team. The primary objective of this role is to assess business activities and support functions for compliance with applicable...Work at office- The Senior Compliance Officer will serve as a senior contributor within an independent compliance monitoring and testing function. The role is responsible for planning and executing risk-based reviews, documenting conclusions, communicating control weaknesses, and overseeing...Shift work
$65k - $150k
...Assistant Vice President performs compliance reviews across the bank to... ...experience in compliance testing and/or auditing function. AVP... ...controls as assigned by the Head of CMTG, such as reporting, time... ...Testing Program Administration Monitor regulatory activities and...Work experience placement$55.4k - $91.3k
...search for a Part-Time Asbestos Project Monitor for our New York, NY office. Be involved... ...monitoring requirements of asbestos abatements in compliance with Federal, State, and Local laws.... ...Certificate a plus Updated Fit Test and Medical Testing documents a plus 40-...Part timeWork experience placementWork at officeLocal areaFlexible hoursShift workNight shift- ...offering across North America, and we are looking for a Lead Compliance Manager to provide senior compliance leadership and... ...regulatory updates, and launch-readiness status.Develop and oversee monitoring, testing, issue management, and escalation processes for the broker-...
$220k - $270k
Dart Solutions is seeking a Head of Monitoring & Surveillance Compliance Officer in New York, NY. This key role involves overseeing the electronic and voice communications as well as trade surveillance review across the Firm's operations. The ideal candidate will bring...- ...developments, the company is seeking a Chief Compliance Officer to lead and continue building... ..., governance, policies, procedures, monitoring, and compliance risk management activities... ...matters Oversee compliance monitoring, testing, risk assessments, and reporting Ensure...Remote work
- ...Vice President, Compliance Monitoring & Testing About the Company A company in the financial services industry, based in New York. Industry Financial Services Type Privately Held About the Role The Company is seeking a Vice President for Compliance...Work at office
$140k - $190k
...York, United States of America Hours 40 Line of Business Compliance Pay Detail $140,000 - $190,000 USD TD is committed to providing... ...VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the development,...Work experience placementWork at officeLocal areaWork from homeFlexible hours$160k - $210k
...accommodation or an alternative application process. Chief Compliance Officer Regular Full-Time Compliance 220 Liberty St,... ...responsibilities include compliance training, risk assessments, testing and monitoring, policy governance, complaint management, regulatory change...Full timeTemporary workInterim roleFlexible hoursWeekend workAfternoon shift- We are seeking a Transaction Monitoring Analyst to support a growing financial institution’... ...financial crime concerns to appropriate compliance leadership. SAR & Regulatory Support Prepare... ...tuning, calibration, and transaction testing. Analyze investigation and disposition...
- TD Bank Group is seeking a Compliance Officer in New York to support the US Compliance Monitoring and Testing Team within Core Compliance. You will design and execute annual and cycle-based testing programs, work with global partners, and ensure remediation of gaps across...
$260k - $290k
Chief Compliance Officer Team: Legal & Compliance Location: New York, NY Work mode: Onsite... ...the annual compliance review. You'll monitor the effectiveness of established compliance... ...across both entities: own ongoing testing, employee oversight, pre-clearance, personal...Work at office$280k - $330k
...$330,000.00/yr Title: Chief Compliance Officer Location: New York City... ...risk-based compliance monitoring programs Provide strategic guidance... ...effective compliance monitoring and testing programs across all business... ...00.00-$175,000.00 5 days ago Head of Investment and Corporate...Full time$160k - $250k
...to serve as the Deputy Chief Compliance Officer for New York Life’s retail... ...procedure design, controls testing, supervisory oversight... ...analytics, data and AI-enabled monitoring, and an integrated control environment... .... Coordinate with the head of the Regulatory Review Unit...Local areaHome office3 days per week$100k - $135k
TD Bank is seeking a Senior Compliance Officer for its Monitoring and Testing team in New York, NY. This key role involves executing compliance testing, overseeing remediation efforts, and building global relationships with stakeholders. Candidates should have at least...- Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalaur...Remote job
- TD Securities (US) seeks a Vice President, Compliance to lead the Compliance Monitoring and Testing Team within Core Compliance. This role oversees testing plans, drives remediation efforts, and partners with regulators and business units to manage regulatory risk. The...
$100k - $130k
...ne fonctionneront pas. Ces témoins n’enregistrent pas de renseignements personnels permettant l’identification.Sr. Compliance Officer - Monitoring & Testing (Associate), TD Securities (US) page is loaded## Sr. Compliance Officer - Monitoring & Testing (Associate), TD...Temporary workWork experience placementRemote workWork from homeFlexible hours$110k - $120k
Guggenheim Partners is hiring a Monitoring and Testing Associate to join its Compliance team in New York. This role involves assessing business activities for compliance with laws and internal policies and executing compliance monitoring and testing programs. The ideal...- A leading financial institution in New York is seeking a Compliance Monitoring & Testing Specialist. This role involves conducting compliance monitoring and testing, ensuring adherence to regulatory requirements, and documenting findings. Candidates should have a Bachelor...Contract work
- The Bachrach Group is seeking a Senior Compliance Officer to join its independent compliance monitoring and testing function in New York. The role plans and executes risk-based reviews, documents conclusions, communicates control weaknesses, and oversees corrective actions...
- Director - AIM Control Monitoring and Testing Automation Lead Job Req Id: 26982872 Location(s): Chennai, Tamil Nadu, India Job Type: Hybrid Posted... ...-scale, complex projects from start to finish. Reports to: Head of Analytics & Information Management, India Job Family...Full time
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