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compliance officer

J&A Consulting LLC

<p><b>DEPUTY SENIOR COMPLIANCE OFFICER for OFFICE OF COUNTRY HEAD</b></p><p><b>US OPERATIONS, NEW YORK</b></p><p>This position requires a bachelor&rsquo;s or master&rsquo;s degree in finance / banking subjects with post qualification experience of at least <b>10 years</b> in relevant areas of BSA-AML Compliance.</p><p>&middot; Excellent communication skills, both written and verbal</p><p>&middot; Organizational and time-management skills</p><p>&middot; Any certifications in the field of BSA-AML will be an added advantage.</p><p>Responsible for oversight of the compliance function across the Bank&rsquo;s US Operations and assist Senior Compliance Officer (SCO), as under:</p><p>1. The Deputy SCO, along with SCO, shall be responsible for ensuring complete compliance of the Bank&rsquo;s US Operations with the applicable laws and regulations of the US.</p><p>2. The Deputy SCO will administer and manage the Bank&rsquo;s AML, EDD and Compliance.</p><p><b>Policies and Programs, which shall require at a minimum to:</b></p><ul><li>&middot; Review the compliance program to be implemented at each branch and the Agency by the compliance personnel and the Head of the branch/office.</li><li>&middot; Review implementation of the compliance policies and procedures at each office through multiple channels including scrutiny of the Compliance Reports submitted by the Line Compliance Officers, maintaining direct and regular communication with the VP (Compliance) and BSA-AML Office, New York branch, Compliance Officer at Chicago, WBB LA and New York Branch and providing guidance and direction to them in matters regarding compliance.</li><li>&middot; Draw up and administer the Bank&rsquo;s Compliance Training Program to ensure that the staff is provided with an adequate level of training</li><li>&middot; Evaluate transactions made on behalf of customers and non- customers for detection of unusual/suspicious activity and oversee filing of appropriately articulated Suspicious Activity Reports</li><li>&middot; Establish and administer a program for thorough and independent testing of documentation and systems for compliance.</li><li>&middot; Review and hold custody (in original or copies as laid out in the respective policies and procedures) of regulatory reports filed, such as, CTRs, SARs, OFAC reports, etc.</li><li>&middot; Review other policies from the compliance perspective.</li><li>&middot; Periodically review activities flagged by AML monitoring system and initiate investigations, if warranted.</li><li>&middot; Participate in the monthly Branch Compliance Monitoring Committee Meetings of Chicago and WBB LA via conference call or periodic presence in addition to attending the New York Branch Compliance Monitoring Committee meetings every month.</li></ul><p>3. Assist SCO in discharging his duties as central point of contact with the regulatory agencies. The SCO will liaise and communicate with the Regulatory Agencies such as the FRB, FDIC, State Banking Departments, Office of Foreign Assets Control, etc. Dy SCO, ongoing basis, will coordinate with various regulators.</p><p>4. Co-ordinate with the CEOs of branches, heads of Offices and heads of Departments during the Regulatory Examinations. Dy. SCO, along with SCO, will monitor developments relating to regulatory compliance and shall disseminate relevant information regarding compliance requirements, industry standards and best practices to the Senior Management and other employees of the Bank on an ongoing basis through direct communication and training programs.</p><p>5. In consultation with respective policy owners/departmental heads review the policies and procedures to identify opportunities to enhance policies and procedures and adoption of industry best practices.</p><p>6. Regularly communicate with senior management and Branch Compliance Monitoring Committees of US offices about matters relating to the existing standards of compliance.</p><p>7. Exercise complete oversight of in-house compliance testing of the functional areas at the offices of the Bank&rsquo;s US Operations including ongoing system driven transaction monitoring.</p><p>8. COMMUNICATION OF STANDARDS AND PROCEDURES TO EMPLOYEES</p><ul><li>Assist in designing compliance training programs as appropriate for employees whose functions or responsibilities involve the compliance with laws or standards of conduct applicable to the operations or practices of The Bank and monitor existing compliance training programs at operating units.</li></ul><p>9. Other areas:</p><p><b>Internal Audit</b></p><p><b>Auditing</b></p><ul><li>Dy SCO will use Internal Audit to identify and remediate deficiencies in policies and procedures and track closure of open audit issues.</li><li>Copies of all audit reports relating to compliance with laws and standards of conduct will be examined and reviewed by Dy SCO.</li></ul><p><b>Reporting</b></p><p>The Dy SCO will help SCO report to the Country Head (US Operations) any reported concerns about accounting, internal controls or audit issues and suspected violation of US laws or regulations.</p><p><b>10. Response to violations</b></p><ul><li>&middot; Assist SCO, whenever he receives information regarding a possible violation of any application law or standard of conduct, to take appropriate steps by examining information and conducting the investigation necessary to determine whether an actual violation has occurred and will recommend to management an appropriate course of action.</li></ul><p><b>11. Other responsibilities</b></p><ul><li>&middot; Communicate with Bank's legal counsel and relevant regulatory/government agencies regarding regulatory compliance issues</li><li>&middot; Assist senior management of the Bank&rsquo;s to identify business expansion opportunities through organic and inorganic growth and finalization of compliance modalities for such expansion programs.</li><li>&middot; Provide advisory support to the Bank&rsquo;s, California, on compliance matters.</li></ul><p><b>12. Functional relationship</b></p><ul><li>&middot; Will report to Senior Compliance Officer (US Operations)</li><li>&middot; Co-ordinate day to day compliance functions of the Bank&rsquo;s US Operations with VP (Risk, AML &amp; IAC) and VP (Branch Coordination) in the Office of Country Head.</li><li>&middot; Co-ordinate with Heads of Branches in New York, Chicago, WBB LA and the Chief Representative in Washington on compliance matters.</li><li>&middot; Participate in the Branch/Office Compliance meetings.</li></ul><p>Job Type: Full-time</p><p>Pay: $150,000.00 - $175,000.00 per year</p><p>Benefits:</p><ul><li>401(k)</li><li>Dental insurance</li><li>Health insurance</li><li>Life insurance</li></ul><p>Application Question(s):</p><ul><li>Do you have experience being in direct communication with the Regulatory Agencies such as the FRB, FDIC, State Banking Departments, Office of Foreign Assets Control, etc.?</li><li>The bank is offering up to $175,000 negotiable, based on experience, plus group</li></ul><p>life insurance, health, and dental insurance (fully paid for by the bank) and 401k benefits.</p><p>Is this within your desired salary range? If not, please advise your requirements for compensation - Always open for negotiation!</p><p>Experience:</p><ul><li>Banking: 10 years (Required)</li><li>Bank Secrecy Act: 10 years (Preferred)</li><li>Compliance management: 10 years (Preferred)</li><li>Financial auditing: 5 years (Preferred)</li><li>Regulatory reporting: 5 years (Preferred)</li></ul><p>Ability to Commute:</p><ul><li>New York, NY 10022 (Required)</li></ul><p>Work Location: In person</p>

Senior Compliance Officer

Lensa

<div>
 Lensa is a career site that helps job seekers find great jobs in the US. We are not a staffing firm or agency. Lensa does not hire directly for these jobs, but promotes jobs on LinkedIn on behalf of its direct clients, recruitment ad agencies, and marketing partners. Lensa partners with DirectEmployers to promote this job for Citizens. Clicking "Apply Now" or "Read more" on Lensa redirects you to the job board/employer site. Any information collected there is subject to their terms and privacy notice.
 <br/>
 <br/>
 <strong>
  Description
  <br/>
  <br/>
 </strong>
 Company Overview
 <br/>
 <br/>
 Citizens JMP Securities, LLC (CJMP), a subsidiary of Citizens Financial Group, operates as a FINRA-registered institutional broker-dealer offering comprehensive services in M&amp;A advisory, investment banking, corporate finance, equity research, and sales and trading.
 <br/>
 <br/>
 Position Overview
 <br/>
 <br/>
 We are seeking a Compliance Officer to support our Research, Investment Banking Compliance team. This role ensures compliance with applicable regulations, internal policies, and ethical standards governing Research, and Investment Banking activities.
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 <br/>
 To thrive as a colleague at Citizens, candidates must demonstrate a strong customer-centric mindset, exhibit persistence and resilience in the face of challenges, and embrace continuous learning to adapt and grow in a dynamic environment.
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 <br/>
 Key Responsibilities
 <br/>
 <br/>
 <ul>
  <li>
   Regulatory Oversight: Monitor compliance with SEC, FINRA, and global regulations related to Research, and Investment Banking activities.
  </li>
  <li>
   Conflict Management: Oversee processes to identify and manage conflicts of interest between Research, and Investment Banking activities, ensuring compliance with the Global Research Settlement and firm policies.
  </li>
  <li>
   Advisory: Provide real-time guidance to Research Analysts, Investment Bankers, and front-office teams on compliance matters, including deal-related restrictions, research disclosures, and analyst independence.
  </li>
  <li>
   Policy Development: Draft, update, and implement compliance policies and procedures for Research, and Investment Banking functions.
  </li>
  <li>
   Surveillance &amp; Monitoring: Conduct reviews of research reports, deal announcements, and trading activities for compliance with regulatory and internal standards.
  </li>
  <li>
   Collaboration:
  </li>
  <li>
   Partner with Equity Capital Markets (ECM), Debt Capital Markets (DCM), and Corporate Banking to provide compliance guidance on transactions and related activities.
  </li>
  <li>
   Coordinate with Trading and BD Control Room, and the Centralized Control Room on the management and accuracy of the firm's Restricted List and Watch List.
  </li>
  <li>
   Committee Participation: Serve as a Compliance representative on key Investment Banking committees, including the Equity Commitments Committee (ECC), Fixed Income Commitments Committee (FICC), Investment Banking Committee (IBC), and Fairness Opinion Committee (FOC).
  </li>
  <li>
   Specialized Knowledge:
  </li>
  <li>
   Maintain a thorough understanding of requirements related to "At the Market" (ATM) offerings, including obligations for trade reporting block trades.
  </li>
  <li>
   Must have a solid understanding of the requirements of Regulation M, particularly Rule 101, which restricts distribution participants and affiliated purchasers from bidding for, purchasing, or inducing others to purchase covered securities during the restricted period to prevent market manipulation.
  </li>
  <li>
   Information Barriers: Assist with both physical and electronic barriers to maintain separation between private-side and public-side information, ensuring compliance with regulatory and firm requirements.
  </li>
  <li>
   Training: Deliver targeted compliance training to banking, research, and trading teams on regulatory requirements and firm policies.
  </li>
  <li>
   Regulatory Interaction: Assist with regulatory inquiries, audits, and examinations related to investment banking and research activities.
  </li>
  <li>
   Incident Management: Investigate and resolve compliance breaches, documenting findings and implementing remediation plans.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Qualifications
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Education: Bachelor's degree in finance, Law, Business, or related field; advanced degree or certifications preferred.
  </li>
  <li>
   Licenses: FINRA Series SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is required.
  </li>
  <li>
   Experience: 2-5+ years in compliance within investment banking, research, or broker-dealer environment, with strong knowledge of equity and fixed income markets.
  </li>
  <li>
   Skills:
  </li>
  <li>
   Strong understanding of U.S. securities regulations (SEC, FINRA) and research-related rules.
  </li>
  <li>
   Familiarity with the Global Research Settlement and conflicts management frameworks.
  </li>
  <li>
   Excellent analytical, communication, and interpersonal skills.
  </li>
  <li>
   Ability to work in a fast-paced, high-pressure environment.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Hours And Work Schedule
  <br/>
  <br/>
 </strong>
 At least 4 days in office
 <br/>
 <br/>
 Hours per Week: 40
 <br/>
 <br/>
 Work Schedule: Monday-Friday
 <br/>
 <br/>
 Pay Transparency
 <br/>
 <br/>
 The salary range for this position is $84,000-$126,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience.
 <br/>
 <br/>
 We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens' paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits .
 <br/>
 <br/>
 Citizens will not sponsor an applicant for a work visa, such as an H-1B, for this position.
 <br/>
 <br/>
 Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.
 <br/>
 <br/>
 Equal Employment Opportunity
 <br/>
 <br/>
 Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague's or a dependent's reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.
 <br/>
 <br/>
 Why Work for Us
 <br/>
 <br/>
 At Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth
 <br/>
 <br/>
 Background Check
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 <br/>
 Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.
 <br/>
 <br/>
 10/16/2025
 <br/>
 <br/>
 If you have questions about this posting, please contact support@lensa.com
</div>


Research / Investment Banking Compliance Officer

BOARD OF CORRECTION

<div></div><div><div><div><div><div><div><div><ul><li><b>BOARD OF CORRECTION
</b></li></ul></div></div><div><div><b>Posted On: </b><b>09/24/2025
</b></div></div><div><div><ul><li><b>Full-Time
</b></li></ul></div></div><div><div><div><b>Location
</b></div><div><b>NYC-ALL BOROS</b></div>
</div></div><div><div><ul><li><b>No Exam Required
</b></li></ul></div></div><div><div><div><div><b>Department</b></div>
<div><b>Board Staff</b></div>
</div></div></div><p></p><div><div><div><b>Salary Range:</b></div><b>
</b><div><b>$80,000.00 &ndash; $90,000.00</b></div><b>
</b></div></div></div></div></div></div><div><div><div><h2 class="jobSectionHeader"><b>Job Description</b></h2></div>
<div><div><div>ABOUT NEW YORK CITY BOARD OF CORRECTION
<br>
<br>
The New York City Board of Correction (&ldquo;BOC&rdquo; or the &ldquo;Board&rdquo;) is a nine-member, non-judicial oversight body that regulates, monitors, and inspects the City&rsquo;s correctional facilities. Established in 1957 and strengthened in independence in 1977, BOC is one of the earliest oversight boards for detention settings in the United States.
<br>
The City Charter mandates five core functions:
<br>
<ul><li>Establish and ensure compliance with minimum standards for the care, custody, treatment, and discipline of people in DOC custody.
</li><li>Investigate serious incidents.
</li><li>Review grievances from people in custody and staff.
</li><li>Evaluate the performance of the Department of Correction.
</li><li>Make recommendations on areas of key correctional planning.
</li></ul>With offices in Lower Manhattan and on Rikers Island, BOC partners with DOC, Correctional Health Services, DCAS, and other stakeholders to carry out its oversight responsibilities through public reporting and data-driven analysis.
<br>
<br>
KEY RESPONSIBILITIES<br>
<br>
EEO PROGRAM LEADERSHIP
<br>
<ul><li>Develop, implement, and oversee the Board&rsquo;s EEO policies and procedures in compliance with federal, state, and local laws, as well as Citywide EEO policies.
</li><li>Advise executives, managers, and supervisors on EEO matters, workplace equity, and complaint resolution.
</li><li>Prepare required monthly, quarterly, and annual EEO reports for DCAS and the Equal Employment Practices Commission.
</li><li>Develop and publish the Citywide Annual Diversity and EEO Plan and internal Diversity Reports.
</li></ul><br>
INVESTIGATIONS &amp; DISPUTE RESOLUTION
<br>
<br>
<ul><li>Conduct and/or oversee internal EEO investigations, draft investigative reports, and recommend resolutions.
</li><li>Facilitate mediation and alternative dispute resolution when appropriate.
</li><li>Manage the EEO case management log and database, ensuring accurate documentation and timely closure of matters.
</li></ul><br>
ACCESSIBILITY &amp; REASONABLE ACCOMMODATIONS
<br>
<br>
<ul><li>Support the Deputy Executive Director of Administration in carrying out the Board&rsquo;s responsibilities as Accessibility Coordinator and Disability Rights Coordinator.
</li><li>Manage the agency&rsquo;s Reasonable Accommodation (RA) and ADA processes, including intake, cooperative dialogue, and case resolution.
</li><li>Administer the 55-a Program and coordinate with DCAS and the Mayor&rsquo;s Office for People with Disabilities to ensure compliance.
</li><li>Assist the DED of Administration with accessibility planning for staff and facilities.
</li></ul><br>
TRAINING &amp; WORKFORCE DEVELOPMENT
<br>
<br>
<ul><li>Develop and deliver EEO-related and compliance training for staff at all levels.
</li><li>Provide policy guidance and technical assistance to management on equitable and lawful employment practices.
</li><li>Support strategies that foster an inclusive and compliant workplace culture.
</li></ul><br>
COMPLIANCE &amp; ADMINISTRATIVE SUPPORT
<br>
<br>
<ul><li>Monitor and review agency employment practices including recruitment, selections, promotions, performance evaluations, and separations for compliance with EEO requirements and City guidelines.
</li><li>Assist the DED of Administration with DSF initiatives, compliance monitoring, and accessibility planning.
</li><li>Draft compliance reports, policy updates, and risk assessments for senior leadership review.
</li><li>Collaborate with HR, Legal, and Fiscal staff to ensure adherence to applicable regulatory and oversight requirements.
</li></ul><br>
SPECIAL PROJECTS
<br>
<br>
<ul><li>Support diversity, equity, and accessibility initiatives as assigned by the Executive Director or DED of Administration.
</li><li>Represent the Board at interagency equity and compliance partnerships.
</li><li>Undertake other EEO and compliance-related projects as needed.
</li></ul><br>
QUALIFICATIONS
<br>
<br>
<ul><li>Strong knowledge of federal, state, and local EEO laws and City compliance requirements.
</li><li>Demonstrated experience conducting EEO or compliance investigations and drafting reports.
</li><li>Skilled in mediation, conflict resolution, and cooperative dialogue.
</li><li>Experience managing reasonable accommodation and accessibility processes.
</li><li>Ability to design and deliver EEO/compliance training and workforce equity strategies.
</li><li>Excellent judgment, discretion, analytical, and communication skills.</li></ul><br>
HOURS/SHIFT<br>
Full-Time, 35 hrs./wk.<br>
<br>
WORK LOCATION
<br>
BOC 2 Lafayette, New York, New York 10007, and Rikers Island Office
<br>
<br>
TO APPLY:
<br>
<br>
For City employees: Go to Employee Self-Service (ESS)-www.nyc.gov/ess and search for Job ID# 739820<br>
<br>
For all other applicants: Go to https://cityjobs.nyc.gov/ and search for Job ID 739820
<br>
<br>
Please submit a resume and cover letter. A writing sample will be requested if you are contacted for an interview.
<br>
Please indicate in your cover letter where you learned of this career opportunity.<br>
<br>
Appointments are subject to Office of Management and Budget approval.<br>
<br>
The Board of Correction is committed to recruiting and retaining a diverse and culturally responsive workforce. We strongly encourage people of color, people with disabilities, veterans, women, and lesbian, gay, bisexual, and transgender and gender non-conforming persons to apply. All applicants will be considered without regard to actual or perceived race, color, national origin, religion, sexual orientation, marital or parental status, disability, sex, gender identity or expression, age, prior record of arrest, or any other basis prohibited by law.<br>
<br>
The City of New York and the Board of Correction is an equal opportunity employer and committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally-protected status or protected characteristic, including, but not limited to, an individual&rsquo;s sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.<br>
<br>
CONFIDENTIAL AGENCY INVESTIGAT - 31142</div><p><b><br>
Preferred Skills</b></p><br>
MINIMUM QUALIFICATIONS 1. A baccalaureate degree from an accredited college, and four years of satisfactory full- time experience in the field of investigations, auditing, law enforcement, criminal justice, or in EEO compliance or a related field, 18 months of which must have been in an administrative, managerial, or executive capacity or supervising a staff performing investigations or related work or 2. Education and/or experience equivalent to &quot;1&quot; above. However, all candidates must have the 18 months of experience in an administrative, managerial, executive, or supervisory capacity as described in &quot;1&quot; above. PREFERRED QUALIFICATIONS A bachelors degree and at least four years of professional experience working in EEO compliance or related field. Eighteen (18) months of this experience must have been in an executive, managerial, administrative, or supervisory capacity. Qualifications - Strong knowledge of federal, state, and local EEO laws and City compliance requirements. - Demonstrated experience conducting EEO or compliance investigations and drafting reports. - Skilled in mediation, conflict resolution, and cooperative dialogue. - Experience managing reasonable accommodation and accessibility processes. - Ability to design and deliver EEO/compliance training and workforce equity strategies. - Excellent judgment, discretion, analytical, and communication skills.<br>
<p><b>
Public Service Loan Forgiveness</b></p><br>
As a prospective employee of the City of New York, you may be eligible for federal loan forgiveness programs and state repayment assistance programs. For more information, please visit the U.S. Department of Education&rsquo;s website at https://studentaid.gov/pslf/.<br>
<p><b>
Residency Requirement</b></p><br>
New York City residency is generally required within 90 days of appointment. However, City Employees in certain titles who have worked for the City for 2 continuous years may also be eligible to reside in Nassau, Suffolk, Putnam, Westchester, Rockland, or Orange County. To determine if the residency requirement applies to you, please discuss with the agency representative at the time of interview.<br>
<p><b>
Additional Information</b></p><div></div><p><br>
The City of New York is an inclusive equal opportunity employer committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally protected status or protected characteristic, including but not limited to an individual's sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.</p></div>
</div><div><div><p><b>
</b></p><p><b>Shortlist</b></p>
</div></div></div></div><p></p><div><div><div><div><div><div><div><b>Job ID
</b></div><div><b>739820</b></div>
</div></div><div><div><div><div><b>Title code</b></div>
<div><b>31142</b></div>
</div></div></div><div><div><div><div><b>Civil service title</b></div>
<div><b>CONFIDENTIAL AGENCY INVESTIGAT</b></div>
</div></div></div><div><div><div><div><b>Title classification</b></div>
<div><b>Non-Competitive-5</b></div>
</div></div></div><div><div><div><div><b>Business title</b></div>
<div><b>EEO Officer</b></div>
</div></div></div><p></p><div><div><ul><li><div><b>Experience Level: </b></div><b>Manager
</b></li></ul></div></div><div><div><div><div><b>Job level</b></div>
<div><b>M2</b></div>
</div></div></div><div><div><div><div><b>Number of positions</b></div>
<div><b>1</b></div>
</div></div></div><div><div><div><div><b>Work location</b></div>
<div><b>2 Lafayette St., N.Y.</b></div>
</div></div></div><div><div><ul><li><div><b>Category: </b></div><b>Administration &amp; Human Resources
</b></li></ul></div></div></div></div></div></div><p></p><div><div><div><div><div><b>EEO Officer</b></div></div></div></div></div></div><p></p>

EEO Officer

TD Bank

<div><p><b>Work Location:
</b></p>New York, New York, United States of America
<p></p><p><b>Hours:
</b></p>40
<p></p><p><b>Pay Details:
</b></p>$110,760 - $178,880 USD
<p></p><p>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.
</p><p></p><p>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.
</p><p></p><p><b>Line of Business:
</b></p>Compliance
<p><b>Job Description:
</b></p><p>The Senior Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.
</p><p></p><p><b>Depth &amp; Scope:
</b></p><ul><li>Recognized as top level expert within the company and requires significant in-depth and/or breadth of expertise in a complex field and knowledge of broader related areas
</li><li>Senior specialist providing advisory services to executives, business segment leaders and governs the requirements for own work
</li><li>Integrates knowledge of the enterprise function&rsquo;s or business segment&rsquo;s overarching strategy in leading program design, policy formulation or operating standards within one or more areas of expertise
</li><li>Anticipates emerging business trends and regulatory/risk issues as a basis for recommending large-scale product, technical, functional or operations improvements
</li><li>Serves as a source of expert advice to senior management in field of specialty
</li><li>Advises on execution strategy and leads the development and deployment of functional programs or initiatives within their own field or across multiple specialties
</li><li>Solves unique and ambiguous problems with broad impact; typically oversees standards, controls and operating methods that have significant financial and operational impact within the context of their own field
</li><li>Requires innovative thinking to develop new solutions
</li><li>Impacts the technical or functional direction and resource allocation of part of an enterprise function or business segment
</li><li>Works within general policies and industry guidelines
</li><li>Engages stakeholders to take action; serves as a source of expert advice, influences change; frames information in a broader organizational context
</li><li>Provides leadership guidance, makes recommendations and collaborates with business to facilitate that solutions meet the business needs on a complex project or program
</li><li>Identifies and leads problem resolution for project/program complex requirements related issues at all levels
</li></ul><p></p><p><b>Education &amp; Experience:
</b></p><ul><li>Undergraduate degree or equivalent work experience
</li><li>10+ years of experience
</li></ul><p></p><p><b>Preferred Qualifications:
</b></p><ul><li>Experience in Community Reinvestment Act (CRA) program development, strategy, and performance management
</li><li>Experience with qualification/review of community development (CD) loans, investments, and services across multiple geographies. Experience qualifying complex transactions involving construction lending, tax credits, CDFIs, SBICs, etc.
</li><li>Experience in maintaining data integrity and documentation for regulatory exams of community development activities. Experience in providing materials for a regulatory exam
</li><li>Knowledge of programs, federal and state economic zones, non-profit organizations, and other vehicles that facilitate community development in various geographies
</li><li>Experience in providing guidance and training to peers as a subject matter expert in CRA Compliance
</li></ul><p></p><p><b>Customer Accountabilities:
</b></p><ul><li>Proactively advises the business of new and changed Compliance regulatory and/or policy changes
</li><li>Formulates relevant and meaningful data analysis, leveraging advanced modeling and analytics, and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
</li><li>Contributes to the development and implementation of Compliance programs
</li><li>Guides partner through the development, implementation, oversight and management of effective Compliance Programs
</li><li>Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
</li><li>Represents Compliance on internal or external committees relating to designated business activities as required
</li><li>Delivers relevant subject matter expertise and Compliance advice to business management
</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>Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
</li><li>Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
</li></ul><p></p><p><b>Shareholder Accountabilities:
</b></p><ul><li>Actively assists in developing and overseeing implementation of business line policies and Compliance Team procedures
</li><li>Oversees respective programs/policies/practices are well managed, meet business needs, comply with internal and external requirements, and align with business priorities
</li><li>Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
</li><li>Partners with the governance &amp; assurance function to develop annual awareness training
</li><li>Conducts enterprise wide annual risk assessment for all TD businesses
</li><li>Protects the interests of the organization &ndash; identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
</li><li>Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
</li><li>Actively manages relationships within and across various business lines, corporate and/or control functions and promotes 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><p></p><p><b>Employee/Team Accountabilities:
</b></p><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 promotes timely communication of issues/points of interest
</li><li>Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
</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 team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
</li><li>Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
</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><p></p><p><b>Physical Requirements:
</b></p><p>Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
</p><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><p></p><p>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.
</p><p></p><p><b>Who We Are:
</b><br>
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.
</p><p></p><p>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.
</p><p></p><p><b>Our Total Rewards Package<br>
</b></p><p><br>
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
</p><p></p><p><b>Additional Information:
</b><br>
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.
<br>
<br>
<b>Colleague Development
</b><br>
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.
<br>
<br>
<b>Training &amp; Onboarding
</b><br>
We will provide training and onboarding sessions to ensure that you&rsquo;ve got everything you need to succeed in your new role.
<br>
<br>
<b>Interview Process
</b><br>
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.
</p><p></p><p><b>Accommodation
</b></p><p>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.
</p><p></p><p>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.</p></div>

Senior CRA Compliance Business Oversight Manager (US)

Rilla

<div>
 Who We Are
 <br/>
 <br/>
 Rilla is the leading virtual ridealong software for outside sales and service. Think HVAC, windows, real estate, and other salespeople who talk to customers face to face.
 <br/>
 <br/>
 They talk, our mobile app records their conversations, and our AI automatically transcribes and analyzes them to help improve sales performance.
 <br/>
 <br/>
 Our vision is to bring the power of conversation intelligence from the Zoom meeting and the call center to the 10M+ salespeople who work offline.
 <br/>
 <br/>
 We&rsquo;re growing 20% MoM, have dozens of customers including Fortune 500s, Net Revenue Retention above 170%, an NPS higher than the iPhone, and we&rsquo;re profitable.
 <br/>
 <br/>
 We&rsquo;re backed by Byron Deeter at Bessemer Venture Partners (the #1 cloud investor globally) and named a Cloud 100 Rising Star. We&rsquo;re building a generational company at rocket speed&mdash;and we need the best people in the world on our team to make it happen.
 <br/>
 <br/>
 The Role
 <br/>
 <br/>
 At Rilla, speed and precision matter. We&rsquo;re looking for a
 <strong>
  Legal Counsel
 </strong>
 who thrives in high-pressure environments, loves solving complex problems, and can move seamlessly between strategic and tactical work.
 <br/>
 <br/>
 You&rsquo;ll report to the Head of Operations and play a critical role in supporting all legal matters across the company. From negotiating customer and vendor contracts to guiding compliance in the rapidly evolving AI regulatory landscape, you&rsquo;ll be the person making sure Rilla is protected as we scale at rocket speed.
 <br/>
 <br/>
 This isn&rsquo;t a &ldquo;supporting&rdquo; role. You&rsquo;ll be in the trenches helping us win deals, navigate risk, and build scalable processes that make Rilla unstoppable.
 <br/>
 <br/>
 Who You Are
 <br/>
 <br/>
 <ul>
  <li>
   A sharp legal mind with a bias toward action&mdash;you don&rsquo;t just spot problems, you solve them.
  </li>
  <li>
   Someone who loves ambiguity and can balance speed vs. precision depending on the moment.
  </li>
  <li>
   A team player who can partner with Sales, Finance, Product, and People Ops with equal ease.
  </li>
  <li>
   Excited (not intimidated) by the challenge of building the legal backbone of one of the fastest-growing AI startups.
   <br/>
   <br/>
  </li>
 </ul>
 What You&rsquo;ll Do
 <br/>
 <br/>
 <strong>
  Contracting / Commercial
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Draft, review, and negotiate complex customer, partner, and vendor agreements.
  </li>
  <li>
   Build scalable contracting processes that help us move fast without cutting corners.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Regulatory / Compliance
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Own and drive large, complex compliance projects to completion.
  </li>
  <li>
   Stay ahead of emerging AI, data privacy, and SaaS regulations&mdash;and advise the business on what matters.
  </li>
  <li>
   Build and deliver compliance training across the company.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Other Legal &amp; Business Support
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Partner with Sales and Finance on deal structuring and commercial strategy.
  </li>
  <li>
   Provide guidance on HR, corporate governance, and other cross-functional legal needs.
  </li>
  <li>
   Jump into high-impact ad hoc projects wherever the business needs you.
   <br/>
   <br/>
  </li>
 </ul>
 What We Need
 <br/>
 <br/>
 <ul>
  <li>
   A juris doctor (J.D.) degree from an ABA-accredited law school.
  </li>
  <li>
   Admitted to practice law in New York State with good standing, or willing and able to waive in to New York.
  </li>
  <li>
   1&ndash;3 years of experience at a top firm or in-house, with strong exposure to either corporate/commercial or regulatory work (ideally both).
  </li>
  <li>
   Excellent drafting and negotiation skills.
  </li>
  <li>
   Strong research and analytical abilities&mdash;you can parse complex statutes and make them actionable for business leaders.
  </li>
  <li>
   Highly organized, detail-obsessed, and capable of juggling multiple high-stakes projects at once.
  </li>
  <li>
   A startup mindset: scrappy, fast, and unafraid to take ownership.
   <br/>
   <br/>
  </li>
 </ul>
 Don&rsquo;t Work Here
 <br/>
 <br/>
 Please don&rsquo;t join if you&rsquo;re not excited about:
 <br/>
 <br/>
 <ul>
  <li>
   Working ~70 hrs/week in person with some of the most ambitious people in NYC.
  </li>
  <li>
   Building a generational company&mdash;and the intensity that comes with it.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Compensation
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Base salary: $170,000 &ndash; $200,000/year
  </li>
  <li>
   Incentive stock options + potential future performance incentives
  </li>
  <li>
   Matching/competitive offers for top candidates
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Benefits
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Medical, dental, and vision insurance
  </li>
  <li>
   Breakfast, lunch, dinner, and supplementary food + drink 6x per week
  </li>
  <li>
   Gym membership
  </li>
  <li>
   Commuter benefits
  </li>
  <li>
   Relocation assistance
  </li>
  <li>
   &ldquo;Take what you need&rdquo; PTO policy
  </li>
  <li>
   $1,000 annual stipend for learning and personal growth
  </li>
  <li>
   Tech + equipment covered
  </li>
 </ul>
</div>


Legal Counsel

<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>Job Description</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div><p><b>
What is the opportunity?</b></p><p>
Responsible for providing regulatory guidance, oversight, and effective challenge to RBC Capital Markets, LLC&rsquo;s US Macro sales &amp; trading personnel and supporting functions. Knowledge of Futures, Commodities, Rates, and/or FX products is necessary for the candidate provide high-quality, real-time advisory services to all covered businesses. Also responsible for assisting with identifying and mitigating key risks when engaged on regulatory and business-driven initiatives.</p><p></p><p><b>
What will you do?</b></p><ul><li>
Advise business personnel on Firm policies and regulatory matters with a particular focus on Futures, Commodities, Rates, and/or FX .</li><li>
Support activities of RBC&rsquo;s Global Macro business units, with emphasis on the FCM.</li><li>
Work closely with personnel within the Global Macro business units (Sales &amp; Trading) as well as First Line Supervision, Technology, BCS, Legal, Finance, and other Compliance staff.</li><li>
Deal with highly complex issues, projects, and processes.</li><li>
Develop and implement policies, procedures and controls which successfully mitigate key regulatory risk factors for all covered business lines.</li><li>
Proactively identify issues impacting coverage areas through participation in business, industry and regulatory initiatives.</li><li>
Conduct periodic and annual risk assessments of key regulatory themes to benchmark the Macro risk profile against other regions and the enterprise.</li><li>
Assist with the development of surveillances and controls reasonably designed to detect and mitigate compliance issues.</li><li>
Assist with the resolution of issues identified from Compliance Surveillance and other oversight functions (i.e., Internal Audit).</li><li>
Investigate and assist with responses to regulatory inquiries and examinations.</li><li>
Be part of a global collaborative enterprise compliance function.</li></ul><p></p><p><b>
What do you need to succeed?</b></p><ul><li>
Bachelor's Degree</li><li>
2 years of capital markets desk advisory experience</li><li>
5-7 or more years of experience in compliance, consulting, operational risk, or financial services</li><li>
Series 3</li></ul><p></p><p><b>
Nice to Have</b></p><ul><li>
Master's or JD Degree</li><li>
Any FINRA Registrations (Series 7, 57, 4, 24, etc.)</li></ul><p></p><p><b>
What&rsquo;s in it for you?</b></p><p>
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.</p><ul><li>
A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.</li><li>
Leaders who support your development through coaching and managing opportunities.</li><li>
Ability to make a difference and lasting impact.</li><li>
Work in a dynamic, collaborative, progressive, and high-performing team.</li><li>
Opportunities to do challenging work.</li><li>
Opportunities to build close relationships with clients.</li></ul><p></p><p>
The expected salary range for this particular position is $110,000-190,000, depending on your experience, skills, and registration status, market conditions and business needs.</p><p></p><p>
You have the potential to earn more through RBC&rsquo;s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.</p><p></p><p>
RBC&rsquo;s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:</p><ul><li>
Drives RBC&rsquo;s high-performance culture</li><li>
Enables collective achievement of our strategic goals</li><li>
Generates sustainable shareholder returns and above market shareholder value</li></ul><p></p><p><b>
Job Skills</b></p>
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking<p></p><p><b>
Additional Job Details</b></p><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Address:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET:NEW YORK<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
City:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
New York<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Country:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
United States of America<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Work hours/week:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
40<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Employment Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
Full time<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Platform:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
CHIEF LEGAL &amp; ADMIN OFFICE GRP<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Job Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
Regular<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Pay Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
Salaried<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Posted Date:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
2025-09-29<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Application Deadline:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>
2025-10-31<p><b>
Note</b><b>:</b> <i>Applications will be accepted until 11:59 PM on the day prior to the application deadline date above</i></p><p></p><p><b>
I</b><b>nclusion</b><b> and Equal Opportunity Employment</b></p><p></p><p>
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.</p><p></p><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p><b>
Join our Talent Community</b><br>
<br>
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.<br>
<br>
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.</p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>

Associate Director, US Macro Products Compliance

Nardello

<div><p><b>About Nardello &amp; Co.</b></p>
<p>
Ranked as the pre-eminent US investigative firm by <i>Chambers &amp; Partners</i>, Nardello &amp; Co. is a global leader in complex investigations. Our experienced professionals support clients across civil and white-collar criminal litigation, arbitration, due diligence, anti-corruption and fraud investigations, asset tracing, activist defense, political risk and strategic intelligence, digital investigations and cyber defense, monitorships, and compliance consulting.</p>
<p>
Our clients include top law firms, financial institutions, Fortune 500 and FTSE 100 companies, high-net-worth individuals, governments, NGOs, sports organizations, and academic institutions. With offices in New York, London, Washington, DC, Los Angeles, Hong Kong, Dubai, and Singapore, our team comprises former federal prosecutors, international lawyers, law enforcement and intelligence professionals, forensic experts, and analysts.</p><p></p><p><b><br>
Position Overview</b></p>
<p>
Reporting to the Chief People Officer, the HR Operations Manager will play a critical role in supporting and maintaining operational processes related to the employee lifecycle. Reporting to the Chief People Officer and collaborating closely with finance and operations teams, this role ensures smooth HR operations and compliance across the firm&rsquo;s global footprint.</p><p></p><p><b><br>
Key Responsibilities</b></p>
<p><b>
Employee Lifecycle Management</b></p>
<ul>
<li>Prepare and distribute offer letters and onboarding documentation</li>
<li>Coordinate background checks with third-party providers</li>
<li>Ensure seamless onboarding, including systems and benefits setup</li>
<li>Support offboarding processes, including termination documentation and equipment collection</li>
</ul>
<p><b>HR Operations &amp; Compliance</b></p>
<ul>
<li>Manage all aspects of the HRIS including maintaining accurate employee records</li>
<li>Assist with benefits selection, cost analysis and open enrollment</li>
<li>Administer payroll and liaise with PEO and other outside vendors for benefits and compliance</li>
<li>Coordinate 401(k) enrollment and assist with benefits inquiries</li>
<li>Track visa and immigration documentation and ensure compliance</li>
<li>Manage global harassment prevention training</li>
<li>Oversee US HR legal posting requirements</li>
<li>Support global HR policy handbook updates and acknowledgements</li>
</ul>
<p><b>Culture &amp; Engagement</b></p>
<ul>
<li>Support initiatives to enhance company culture and employee experience</li>
<li>Assist with employee surveys and engagement activities</li>
<li>Track retention and performance metrics; prepare leadership summaries</li>
</ul>
<p><b>People Analytics &amp; Reporting</b></p>
<ul>
<li>Collect and report HR metrics (e.g., turnover, retention, engagement)</li>
<li>Prepare dashboards and reports for leadership decision-making</li>
<li>Support year-end compensation reporting</li></ul><br>
<p></p>
<p><b>
Skills &amp; Experience</b></p>
<ul>
<li>Minimum of 7 years of HR operations experience in a global corporate environment; professional services preferred</li>
<li>Minimum of 3 years of experience in payroll and benefits administration</li>
<li>Strong quantitative reasoning skills</li>
<li>Proficiency in MS Office, strong Excel (functions and formulas) and PowerPoint</li>
<li>Ability to proactively manage responsibilities and deadlines</li>
<li>Strong attention to detail and organizational skills</li>
<li>Ability to collaborate across domestic and international teams</li>
<li>Excellent verbal and written communication skills</li>
<li>CRM experience, such as Salesforce, a plus</li></ul><br>
<p></p>
<p>
Nardello &amp; Co. offers a competitive compensation and benefits package.</p><p></p><p><br>
We are an Equal Opportunity Employer</p></div><p></p>

Human Resources Operations Manager

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