analyst, security (open to remote) Jobs in New York

analyst, security (open to remote)

analyst-compliance -procedure & project management analyst – policy & standards enforcement Jobs in New York

analyst-compliance -procedure & project management analyst – policy & standards enforcement

analyst-compliance- policy, procedure & project management analyst – projects & strategic initiatives Jobs in New York

analyst-compliance- policy, procedure & project management analyst – projects & strategic initiatives

associate, fraud risk analyst Jobs in New York

associate, fraud risk analyst

ath 3827 - manager, compliance board reporting Jobs in New York

ath 3827 - manager, compliance board reporting

compliance analyst

Social Capital Resources

<div>
 
 
 Investment Management Firm in Midtown, Manhattan is seeking a Compliance Analyst for a full-time position!
 
 
 
 
 
 
 
 Responsibilities:
 
 
 
 
 
 <ul>
 <li>
 Assist with oversight of sub-advisers, third-party vendors and service providers
 </li>
 <li>
 Assist with fund launches, product lifecycle events across ETFs, UCITS and private funds
 </li>
 <li>
 Assist in preparing or reviewing DDQs, fund registration documents, website postings
 </li>
 <li>
 Coordinate cross-listings, market openings and registrations across exchanges and regulators
 </li>
 <li>
 Assist in the execution and documentation of the firm&rsquo;s compliance testing and monitoring program
 </li>
 <li>
 Support maintenance of compliance manuals, policy reviews and calendars
 </li>
 <li>
 Help prepare and track regulatory filings (e.g., Form ADV, Form PF, UCITS filings, etc.)
 </li>
 <li>
 Code of Ethics compliance monitoring, including approving / denying requests for personal trading, outside business activities, personal investments
 </li>
 </ul>
 
 
 
 
 
 Qualifications:
 
 
 
 
 
 <ul>
 <li>
 Bachelor's Degree
 </li>
 <li>
 1-3 years of experience in fund operations, middle or back office or fund compliance
 </li>
 <li>
 Strong Excel skills and data experience
 </li>
 <li>
 Proven ability to manage multiple priorities in a deadline-driven environment
 </li>
 <li>
 Knowledge of the Investment Adviser Act, Investment Company Act of 1940 and/or UCITS preferred
 </li>
 </ul>
 
 
</div>

Compliance Analyst

American Express

<div>At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
We are seeking a detail-oriented and highly organized analyst to support policy development, standards enforcement, and procedure management for Global Sanctions and PEP programs, aligned with the Policy, Procedure, and Project Management pillar. This role is ideal for someone who excels in technical writing, document control, and regulatory interpretation. The analyst will be responsible for maintaining, enhancing, and enforcing internal sanctions-related policies and standards, as well as reviewing local market and business unit procedures for alignment. The ideal candidate will bring strong writing and editing skills, sound judgment, and the ability to communicate clearly across global stakeholders.
This is a hybrid position and cannot be performed remotely.
This role may also support other responsibilities and functions within the Global Sanctions team as needed.
How will you make an impact in this role?
<ul><li>Assist in drafting and updating Global Sanctions and PEP policy and process documentation
</li><li>Help maintain the firm&rsquo;s Enterprise Sanctions and PEP procedures
</li><li>Review local market procedures for alignment with enterprise requirements
</li><li>Coordinate stakeholder feedback and lead or support calls with partners to promote compliance with policy expectations
</li><li>Track and document adherence to procedural updates
</li><li>Partner with control functions to drive consistency across documentation
</li><li>Support other functions in support of the Global Sanctions Team as needed
</li></ul>Minimum Qualifications
<ul><li>Bachelor&rsquo;s degree or equivalent experience
</li><li>2+ years of experience in policy, compliance, risk management, or financial services
</li><li>Strong writing, editing, and document control skills
</li><li>Ability to facilitate calls and work cross-functionally
</li><li>Familiarity with enterprise governance frameworks
 </li></ul>Preferred Qualifications
<ul><li>Experience supporting policy or standards governance in a regulated environment
</li><li>Familiarity with sanctions regulations or global risk frameworks
</li><li>Exceptional communication and collaboration skills
</li></ul>Salary Range: $55,000.00 to $105,000.00 annually + bonus + benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we&rsquo;ll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
<ul><li>Competitive base salaries
</li><li>Bonus incentives
</li><li>6% Company Match on retirement savings plan
</li><li>Free financial coaching and financial well-being support
</li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits
</li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
</li><li>20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
</li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
</li><li>Free and confidential counseling support through our Healthy Minds program
</li><li>Career development and training opportunities
</li></ul>For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles&rsquo; Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the &ldquo; Know Your Rights &rdquo; poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: https://www.eeoc.gov/poster 
 Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.</div>

Analyst-Compliance -Procedure & Project Management Analyst – Policy & Standards Enforcement

<div>At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
We are seeking a detail-oriented and highly organized analyst to support Global Sanctions and PEP-related projects and strategic initiatives as part of the Policy, Procedure, and Project Management pillar. This role is ideal for someone who excels at project planning, cross-functional coordination, and reporting. The analyst will play a critical role in tracking and monitoring the progress of key initiatives, gathering inputs from stakeholders, and presenting updates to the Global Sanctions team and leadership. The ideal candidate will demonstrate strong program management skills, the ability to work independently, and a strategic mindset.
This is a hybrid position and cannot be performed remotely.
This role may also support other responsibilities and functions within the Global Sanctions team as needed.
How will you make an impact in this role?<ul><li>
Support the creation and management of project plans, timelines, and deliverables</li><li>
Monitor progress of ongoing projects and flag potential delays or dependencies</li><li>
Collect, collate, and synthesize information and feedback from cross-functional partners</li><li>
Prepare status updates, decks, and reporting materials for leadership</li><li>
Utilize project management and tracking tools to support transparency and accountability</li><li>
Present project updates to the Global Sanctions Team and leadership as needed</li><li>
Support ad hoc strategic initiatives as directed</li><li>
Assist with other functions in support of the Global Sanctions Team as needed</li></ul>
Minimum Qualifications<ul><li>
Bachelor&rsquo;s degree or equivalent experience</li><li>
2+ years of experience in financial services, compliance, project management, or a related field</li><li>
Strong organizational skills and attention to detail</li><li>
Proficiency with project management tools, Excel, PowerPoint, and data visualization</li><li>
Excellent communication skills and the ability to synthesize and present complex information</li></ul>
Preferred Qualifications<ul><li>
Prior experience in sanctions, PEP, or financial crimes compliance</li><li>
Familiarity with international regulatory environments</li><li>
Strong interpersonal skills and ability to build relationships with stakeholders across functions</li></ul>

Salary Range: $55,000.00 to $105,000.00 annually + bonus + benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we&rsquo;ll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:<ul><li>
Competitive base salaries</li><li>
Bonus incentives</li><li>
6% Company Match on retirement savings plan</li><li>
Free financial coaching and financial well-being support</li><li>
Comprehensive medical, dental, vision, life insurance, and disability benefits</li><li>
Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need</li><li>
20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy</li><li>
Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)</li><li>
Free and confidential counseling support through our Healthy Minds program</li><li>
Career development and training opportunities</li></ul>
For a full list of Team Amex benefits, visit our Colleague Benefits Site.
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles&rsquo; Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the &ldquo;Know Your Rights&rdquo; poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: https://www.eeoc.gov/poster
Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.</div>

Analyst-Compliance- Policy, Procedure & Project Management Analyst – Projects & Strategic Initiatives

<div>
 
 
 Bank in Midtown, Manhattan is seeking a BSA Analyst for a long-term, temp-to-perm assignment.
 
 
 
 
 
 
 
 Responsibilities:
 
 
 
 
 
 <ul>
 <li>
 Conduct high risk customer EDD reviews and assess potential suspicious activity
 </li>
 <li>
 Review and clear alerts generated by OFAC watchlist screening and 314(a) information requests in the BSA/AML transaction monitoring system.
 </li>
 <li>
 Ensure that all transactions/customers deemed suspicious are referred to the BSA Officer in a timely manner.
 </li>
 <li>
 Review and clear suspicious activity alerts generated by the Bank&rsquo;s BSA/AML transaction monitoring system.
 </li>
 <li>
 Escalate alerts to cases for further review in a timely manner, as appropriate.
 </li>
 </ul>
 
 
 
 
 
 Qualifications:
 
 
 
 
 
 <ul>
 <li>
 Bachelor&rsquo;s Degree
 </li>
 <li>
 1-5 years of previous experience of AML/BSA/ within banking
 </li>
 <li>
 Knowledge of Federal regulations (especially BSA/AML/OFAC)
 </li>
 <li>
 Proficient knowledge of MS Word, Excel, Access.
 </li>
 <li>
 Strong analytical and organizational skills; a proactive and fast learner with an eye for details as well as excellent time management and prioritization skills
 </li>
 </ul>
</div>

BSA Analyst

Raymond James

<div>Job Description Summary
Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage compliance and risk-related training and education programs. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues.
Job Description
Essential Duties and Responsibilities
<ul><li>Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders.
</li><li>Coordinates annual training needs assessment processes with key stakeholders.
</li><li>May coach, train, and mentor others Compliance associates.
</li><li>May coordinate with stakeholders to develop and implement continuing education and training programs in conjunction with management.
</li><li>Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting.
</li><li>Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements.
</li><li>Monitors reporting.
</li><li>Partners with business units to recommend policy and process changes to Senior Management.
</li><li>Ensures effective coordination occurs within assigned work group and with other work groups.
</li><li>Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
</li><li>Serves as a resource on compliance issues to clients and staff.
</li><li>May serve as a compliance liaison on various committees and projects representing the interest of the department.
</li><li>Researches regulatory updates to identify linkages and trends and apply findings.
</li><li>Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
</li><li>Performs periodic reporting on compliance and operational issues as required.
</li><li>Assists in preparing the operational budgets for assigned functional area.
</li><li>Balances conflicting resource and priority demands.
</li><li>Performs other duties and responsibilities as assigned.
</li></ul>Knowledge, Skills, and Abilities
Advanced knowledge of:
<ul><li>Compliance and risk training for the securities industry and/or banking compliance.
</li><li>Concepts, practices, and procedures of securities industry and/or banking compliance.
</li><li>Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies.
</li><li>Investment concepts, practices and procedures used in the securities industry.
</li><li>Principles of banking and finance and securities industry operations.
</li><li>Financial markets and products.
</li></ul>Advanced skills in:
<ul><li>Project management.
</li><li>Planning and scheduling work to meet regulatory organizational and regulatory requirements.
</li><li>Preparing oral and/or written reports.
</li><li>Investigating compliances issues and irregularities.
</li><li>Making rule-based and analytical decisions.
</li><li>Strong verbal and written communication.
</li><li>Operating standard office equipment and using required software applications.
</li></ul>Ability to:
<ul><li>Coach and mentor others.
</li><li>Partner with other business units and functional areas to accomplish objectives.
</li><li>Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.
</li><li>Attend to detail while maintaining a big picture orientation.
</li><li>Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
</li><li>Use appropriate interpersonal styles and communicate effectively, orally and in writing, with all organizational levels.
</li><li>Work independently as well as collaboratively within a team environment.
</li><li>Establish and maintain effective working relationships at all levels of the organization.
</li><li>Maintain confidentiality.
</li><li>Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
</li><li>Interpret and apply policies and identify and recommend changes as appropriate.
</li><li>Quantitatively and/or qualitatively process data.
</li><li>Formulate and implement department strategies consistent with long-term company goals.
</li><li>Promote team cohesiveness, cooperation, and effectiveness.
</li></ul>Educational/Previous Experience Requirements
<ul><li>Bachelor&rsquo;s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.
</li></ul>~or~
<ul><li>Any equivalent combination of experience, education, and/or training approved by Human Resources.
</li></ul>Licenses/Certifications
<ul><li>None Required.
</li><li>Additional licenses/certifications demonstrating the candidate&rsquo;s knowledge/expertise in industry regulation and concepts preferred.
</li></ul>.
Education
Work Experience
Certifications
Salary Range
$100,000.00-$120,000.00
Travel
Less than 25%
Workstyle
Remote
<div>At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
 
 
We expect our associates at all levels to:
 
<ul><li>Grow professionally and inspire others to do the same
</li><li>Work with and through others to achieve desired outcomes
</li><li>Make prompt, pragmatic choices and act with the client in mind
</li><li>Take ownership and hold themselves and others accountable for delivering results that matter
</li><li>Contribute to the continuous evolution of the firm
</li></ul></div>At Raymond James &ndash; as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
#LI-AF1</div>

Enterprise Compliance Training & Education Senior Manager

TD Bank

<div>Work Location:
New York, New York, United States of America
Hours:
40
Pay Details:
$119,600 - $178,880 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Line of Business:
Compliance
Job Description:
Why Work with Us?
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact &ndash; both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program &ndash; it's about creating a culture of compliance that will cascade throughout the organization. 
The Ideal Candidate
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank&rsquo;s size, complexity, and risk profile. In this role, you&rsquo;ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. 
Beyond technical expertise, we&rsquo;re looking for someone with an entrepreneurial mindset&mdash;someone who can &quot;roll up their sleeves&quot;, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. 
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you&rsquo;ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
The C ompliance Governance &amp; Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.
The above details are specific to the role which is outlined in the general description below. Please review the Desired Skills and Experience section below as you consider this opportunity.
Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.
The Compliance Governance &amp; Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.
Depth &amp; Scope:
<ul><li>Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
</li><li>Integrates knowledge of the enterprise sub-function&rsquo;s or business line&rsquo;s overarching strategy in developing solutions across multiple functions or operations
</li><li>Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
</li><li>Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
</li><li>Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
</li><li>Independently manages end-to-end functional programs
</li><li>Uses sophisticated analytical thought to exercise judgement and identify solutions
</li><li>Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
</li><li>Impacts the achievement of sub-function or business line objectives within the area they are accountable for
</li><li>Work is guided by policies and industry standards/methods
</li><li>Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
</li><li>Works autonomously as the lead and guides others within area of expertise
</li></ul>Education &amp; Experience:
<ul><li>Undergraduate degree or equivalent work experience
</li><li>7+ years of experience
</li></ul>Preferred Skills:
<ul><li>7+ years of this work experience in the industry.
</li></ul>Customer Accountabilities:
<ul><li>Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
</li><li>Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
</li><li>Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
</li><li>Assists Compliance team members in the use of Issues and Events system for tracking and reporting
</li><li>Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
</li><li>Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
</li><li>Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
</li><li>Interacts with control functions within the organization
</li><li>Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
</li><li>Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive
</li></ul>Shareholder Accountabilities:
<ul><li>Adheres to enterprise frameworks and methodologies that relate to activities for our business area
</li><li>Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
</li><li>Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
</li><li>Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
</li><li>Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
</li><li>Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
</li><li>Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
</li><li>Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
</li><li>Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
</li><li>Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
</li></ul>Employee/Team Accountabilities:
<ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
</li><li>Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
</li><li>Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
</li><li>Participates in personal performance management and development activities, including cross training within own team
</li><li>Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
</li><li>Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce
</li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
</li></ul>Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
<ul><li>Domestic Travel &ndash; Occasional
</li><li>International Travel &ndash; Never
</li><li>Performing sedentary work &ndash; Continuous
</li><li>Performing multiple tasks &ndash; Continuous
</li><li>Operating standard office equipment - Continuous
</li><li>Responding quickly to sounds &ndash; Occasional
</li><li>Sitting &ndash; Continuous
</li><li>Standing &ndash; Occasional
</li><li>Walking &ndash; Occasional
</li><li>Moving safely in confined spaces &ndash; Occasional
</li><li>Lifting/Carrying (under 25 lbs.) &ndash; Occasional
</li><li>Lifting/Carrying (over 25 lbs.) &ndash; Never
</li><li>Squatting &ndash; Occasional
</li><li>Bending &ndash; Occasional
</li><li>Kneeling &ndash; Never
</li><li>Crawling &ndash; Never
</li><li>Climbing &ndash; Never
</li><li>Reaching overhead &ndash; Never
</li><li>Reaching forward &ndash; Occasional
</li><li>Pushing &ndash; Never
</li><li>Pulling &ndash; Never
</li><li>Twisting &ndash; Never
</li><li>Concentrating for long periods of time &ndash; Continuous
</li><li>Applying common sense to deal with problems involving standardized situations &ndash; Continuous
</li><li>Reading, writing and comprehending instructions &ndash; Continuous
</li><li>Adding, subtracting, multiplying and dividing &ndash; Continuous
</li></ul>The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities &amp; duties are considered essential functions for ADA purposes.
Who We Are:
 
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you&rsquo;ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we&rsquo;re here to support you towards your goals. As an organization, we keep growing &ndash; and so will you.
Our Total Rewards Package 
 
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
Additional Information:
 
We&rsquo;re delighted that you&rsquo;re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we&rsquo;re committed to providing the support our colleagues need to thrive both at work and at home.
 
 
Colleague Development
 
If you&rsquo;re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You&rsquo;ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD &ndash; and we&rsquo;re committed to helping you identify opportunities that support your goals.
 
 
Training &amp; Onboarding
 
We will provide training and onboarding sessions to ensure that you&rsquo;ve got everything you need to succeed in your new role.
 
 
Interview Process
 
We&rsquo;ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.</div>

ATH 3827 - Manager, Compliance Board Reporting

Senior Manager, Compliance Business Oversight (US)

Explore 140+ Compliance analyst in New York this September. Find roles across top companies and apply now to boost your career.