Director, Investment Banking Compliance Canadian Imperial Bank of CommerceDirector, Investment Banking ComplianceNew York, NY$150,000–$200,000 / yearSeries 7, 63 preferred (24 license a plus); Cross Functional Relationships: This job requires interaction with: Technology in order to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria; Compliance Management to collaborate with potential regulatory issues and net new rule requirements; Infrastructure support groups (e.g., Finance and Operations) to collaborate on control issues; US Legal to seek interpretive guidance on technical regulatory requirements; and. Strong technical skills in Microsoft Excel, Powerpoint, Sharepoint, Word; Comprehensive understanding of US regulatory landscape, private side business activities relating to Investment Banking, Corporate Banking, and Debt Capital Markets; Excellent communication skills, with the ability to translate complex regulatory concepts into business-focused advice.
Principal SME Regulatory Affairs — Banking & AI Compliance MonstroPrincipal SME Regulatory Affairs — Banking & AI ComplianceNew York City, New YorkDevelop clear, well-reasoned positions on nuanced questions: where AI-driven financial guidance sits relative to regulated advice, how data flows within banking ecosystems, and how Monstro is appropriately classified as a vendor. We are looking for someone who has spent years inside or alongside financial institutions, understands how regulators think, and has built the kind of credibility that makes banks and compliance officers trust you.
Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY) M&T Bank CorpSenior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY)New York, NY$109,300–$182,100 / yearThe VP Compliance Consultant plays a critical role in identifying, assessing, monitoring, and mitigating regulatory and compliance risks associated with securities underwriting, equity and debt offerings, private placements, institutional sales and trading, syndicate activities, research independence, information barriers, and related capital markets activities. Overview: The Vice President, Compliance Consultant serves as a senior compliance advisor and subject matter expert responsible for providing independent compliance oversight, advisory support, and credible challenge to Institutional Broker-Dealer, Investment Banking, Debt Capital Markets (DCM), and Equity Capital Markets (ECM) activities.
Equity and Fixed Income Research, Investment Banking, and Capital Markets Compliance Coverage Vice President Morgan StanleyEquity and Fixed Income Research, Investment Banking, and Capital Markets Compliance Coverage Vice PresidentNew York, New York$120,000–$205,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. The Compliance Coverage Professional will primarily support the Research Compliance Coverage function, with a focus on providing compliance coverage to the Equity and Fixed Income Research business and occasional support to Investment Banking and Global Capital Markets Compliance Coverage.
Equity And Fixed Income Research, Investment Banking, And Capital Markets Compliance Coverage Vice President Morgan StanleyEquity And Fixed Income Research, Investment Banking, And Capital Markets Compliance Coverage Vice PresidentNew York, NY$120,000–$205,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. What you'll do in the role: The Compliance Coverage Professional will primarily support the Research Compliance Coverage function, with a focus on providing compliance coverage to the Equity and Fixed Income Research business and occasional support to Investment Banking and Global Capital Markets Compliance Coverage.
Compliance Business Oversight Manager - Consumer Banking The Toronto-Dominion BankCompliance Business Oversight Manager - Consumer BankingNew York, NY$91,000–$145,600 / yearTotal 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. The 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.
Senior Compliance Business Oversight Manager (US) Commercial Banking and Payment Operations The Toronto-Dominion BankSenior Compliance Business Oversight Manager (US) Commercial Banking and Payment OperationsNew York, NY$115,440–$186,160 / yearoperational requirements related to payment processing, returns, disputes, error resolution, and exception handling; and Emerging Payments and Digital Assets - OCC expectations applicable to national banks engaging in tokenized deposit, stablecoin reserve, distributed ledger, and related payment facilitation activities, including safe and sound risk management, compliance with applicable law, operational controls, governance, customer protection, third-party risk management, and alignment with the bank's overall business strategy. Strong knowledge of U.S. bank regulatory rules applicable to Commercial Banking, Small Business Banking, and Payment Operations, including: Commercial Banking and Small Business Banking - Regulation B/ECOA, Regulation Y/FIRREA appraisals, FDPA, anti-tying restrictions, UDAAP/UDAP, and.
Banking Department - Banking Operation Customer Service Associate Bank of China Limited, New York BranchBanking Department - Banking Operation Customer Service AssociateNew York, New York$42,000–$90,000 / yearFull timeAssist customers with routine account related requests such as: opening, modifying and closing accounts/debit cards, funds transfers, stop payments, inquiries about bank deposit products and service charges, review of accounts transactions, processing of special depository products and others. Our long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business.
Banking Department - Banking Operation Customer Service Associate Bank of ChinaBanking Department - Banking Operation Customer Service AssociateNew York, New York$42,000–$90,000 / yearFull timeAssist customers with routine account related requests such as: opening, modifying and closing accounts/debit cards, funds transfers, stop payments, inquiries about bank deposit products and service charges, review of accounts transactions, processing of special depository products and others. Our long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business.
Manager - Regional Banking Personal and Business Banking City National BankManager - Regional Banking Personal and Business BankingNew York, New YorkRemote$175,745–$326,377 / yearFull timePrimary activities include leading joint sales calls with colleagues to clients/prospects, monitoring results to conform to sales and service objectives and fostering an environment that supports a service driven sales culture consistent with the Personal & Business Banking Group. Through consistent coaching of all branch colleagues, develops critical skills, knowledge, and core competencies including those related to effective client acquisition and relationship management, referrals, cross-sell, client service, and retention efforts.
Legal & Compliance Department - FLU BSA and Compliance Oversight Associate Bank of ChinaLegal & Compliance Department - FLU BSA and Compliance Oversight AssociateNew York, New York$42,000–$90,000 / yearFull timeManage monthly FLU BSA Officer meeting reporting materials, and quarterly FLU Subcommittee meeting reporting preparation, including data collection from each FLU BSA Officer and summarize into presentation format. Our long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business.
Legal & Compliance Department - FLU BSA and Compliance Oversight Associate Bank of China Limited, New York BranchLegal & Compliance Department - FLU BSA and Compliance Oversight AssociateNew York, New York$42,000–$90,000 / yearFull timeManage monthly FLU BSA Officer meeting reporting materials, and quarterly FLU Subcommittee meeting reporting preparation, including data collection from each FLU BSA Officer and summarize into presentation format. Our long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business.
Banking/PR, Business Consulting - Commercial Lending (Banking) Infosys LtdBanking/PR, Business Consulting - Commercial Lending (Banking)Basking Ridge, NJThe estimated annual total compensation (base + bonus) range for candidates based in CA, IL, NJ, WA, and NY will be $154,375 to $193,125146829BRNew Jersey, New YorkUSAInfosys Limited Principal - Business ConsultingITL USA Basking Ridge, NJ, New York, NYBanking, Financial servicesProcess|Consulting processes|Technology Consulting process Principal, Business Consulting - Commercial Lending (Banking)154375193125. You will work with the top Fortune 500 Financial Institutions to envision new products, define domain blueprints and roadmaps, redefine experiences and processes, monetize data, modernize payments infrastructure, and drive innovation.
Corporate & Institutional Banking Undergraduate Intern - Real Estate Banking The PNC Financial Services Group IncCorporate & Institutional Banking Undergraduate Intern - Real Estate BankingNew York, NY$18–$35 / hourOpportunities are available throughout PNC's footprint and could include, but not limited to: Atlanta, GA; Boca Raton, FL; Boston, MA; Dallas, TX; Denver, CO; East Brunswick, NJ; Los Angeles, CA; Irvine, CA; New York, NY; San Francisco, CA; New York, NY; San Diego, CA; Houston, TX or Washington, D.C. Learn more about PNC's Internships by visiting www.pnc.jobs/students. Required Education and Experience: Working toward bachelor's degree, preferred business relevant majors (e.g., Real Estate, Finance, Accounting, IT, Economics, Marketing, Math, Statistics, HR, Management, Communications, Business Law, Psychology, Logistics, Engineering, Computer Science, Actuarial Sciences), junior status.
Corporate & Institutional Banking Development Program Analyst/Associate - Commercial & Corporate Banking - Financials and Diversified Track The PNC Financial Services Group IncCorporate & Institutional Banking Development Program Analyst/Associate - Commercial & Corporate Banking - Financials and Diversified TrackNew York, NY$39,100–$126,500 / yearThe Corporate Banking - Financials and Diversified track provides a broad exposure to business units within C&IB, structured development on-the-job, and formal classroom learning including an intensive 6-week credit training program designed to establish PNC's core competencies. Required Education and Experience: Preferred business relevant majors (e.g., Finance, Accounting, IT, Economics, Marketing, Math, Statistics, HR, Management, Communications, Business Law, Psychology, Logistics, Engineering, Computer Science, Actuarial Sciences).
Corporate & Institutional Banking Undergraduate Intern - Commercial & Corporate Banking - Financials and Diversified Track The PNC Financial Services Group IncCorporate & Institutional Banking Undergraduate Intern - Commercial & Corporate Banking - Financials and Diversified TrackNew York, NY$18–$35 / hourRequired Education and Experience: Working toward bachelor's degree, preferred business relevant majors (e.g., Finance, Accounting, IT, Economics, Marketing, Mathematics, Statistics, HR, Management, Communications, Business Law, Psychology, Logistics, Engineering, Computer Science, Actuarial Sciences), junior status, Minimum GPA 3.2. The Corporate Banking - Financials and Diversified track includes segments in the following lines of business: Financial Institutions Group - serves and advises clients with industry expertise in Insurance, Diversified Financial Institutions, Leasing and Transportation Finance, and Fintech.
Relationship Manager Development Program - Global Commercial Banking - Middle Market Banking (New York) Bank of America CorpRelationship Manager Development Program - Global Commercial Banking - Middle Market Banking (New York)New York, NY$150,000–$235,000 / yearResponsibilities: • Acts as a trusted advisor for clients and prospects with annual revenues of $50 million to $2 billion, identifying opportunities and recommending integrated solutions that encompass multiple products and services as needed• Develops an in-depth understanding of clients'/prospects corporation, organization, and the related industry in addition to their strategy and needs, while responding to changes in the business environment or client/prospect needs• Leverages ideas, insights, and relationships to generate new and incremental business for Bank of America• Collaborates with domestic and international teammates throughout Bank of America, including Investment Banking, Foreign Exchange, and Wealth Management• Facilitates client relationships with product specialists in Credit, Treasury Management, and Merchant Services in to ensure the integrated delivery of valuable financial solutions with the Risk & Compliance framework• Designs and implements a business plan that will maximize the profitability of each client and prospect• Builds relationships with internal and external sales referral partners• Motivates and influences client team members appropriately and collaborates in their onboarding, coaching, and developmentRequired Qualifications: • 10+ years of demonstrated sales experience, with a proven ability to drive revenue and build client relationships• Securities Industry Essentials (SIE), Series 7 and 63 licenses required to be obtained within 180 days of start date• Strong business development and analytical capabilities• Strong interpersonal and communication skills• Demonstrated resilience and commitment to continuous learning• Strong business acumen• Ability to read and interpret both audited and unaudited company financial statementsPreferred Qualifications: • Established local network of business referral sources and centers of influence (COIs)Skills: • Business Development• Pipeline Management• Prospecting• Referral Identification• Sales Strategy• Client Experience Branding• Financial Analysis• Referral Management• Risk Management• Sales Performance Management• Data and Trend AnalysisMinimum Education Requirement: Undergraduate degree or equivalent work experience desired: Majors in business, finance or economics preferred. Job expectations include leveraging activity-based training modules, engaging in national and local leader and peer coaching, and developing knowledge of credit, treasury, and other operational services, while building client relationships, creating business plans, and influencing team performance.
Corporate Banking Associate - Public Sector Banking Citigroup IncCorporate Banking Associate - Public Sector BankingNew York, NY$165,000–$185,000 / yearLead interaction with ICM colleagues to ensure coordinated 1LOD approach when engaging with Risk partners and develop working relationships with Independent Compliance Risk Management (Sanctions & AML), Legal, Onboarding and KYC to ensure unique aspects of our clients are considered and reflected in how we do business. The Associate for Public Sector Banking will work with the Parent Account Managers (PAMs) to develop new business, strengthen client relationships, ensure client satisfaction and deliver the best ideas, products and services to federal, state and local government entities.
Legal & Compliance Department - Compliance Governance - Training Associate/AVP Bank of China Limited, New York BranchLegal & Compliance Department - Compliance Governance - Training Associate/AVPNew York, New York$42,000–$150,000 / yearFull timeOur long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business. This position will collaborate with cross-functional teams to manage and analyze compliance training data, monitor key performance indicators, and provide actionable insights to drive training effectiveness.
Legal & Compliance Department - Compliance Governance - Training Associate/AVP Bank of ChinaLegal & Compliance Department - Compliance Governance - Training Associate/AVPNew York, New York$42,000–$150,000 / yearFull timeOur long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business. This position will collaborate with cross-functional teams to manage and analyze compliance training data, monitor key performance indicators, and provide actionable insights to drive training effectiveness.