Vice President, Compliance - Monitoring & Testing, TD Securities (US) TD BankVice President, Compliance - Monitoring & Testing, TD Securities (US)New York, New YorkTotal 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. *General Job Description: The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.
Nerc Compliance Engineer TerraForm Power IncNerc Compliance EngineerNew York, NY$86,000–$115,000 / yearWe foster a culture built on safety, integrity, collaboration, innovation, and continuous improvement, while investing in the development of our employees and supporting the communities where we operate through environmental stewardship, charitable giving, and meaningful local partnerships. Our experienced team manages every aspect of our operations - from power generation and asset management to commercial energy solutions - ensuring the safe, reliable, and efficient performance of our renewable energy facilities.
NewMedicare Compliance & QA Associate Spark AdvisorsMedicare Compliance & QA AssociateNew York City, NY$60,000–$70,000 / yearSpark is hiring an Associate, Medicare Compliance & Quality Assurance responsible for supporting the organization's compliance operations by managing case intake, tracking case progress, facilitating communication between carriers and agents, and assisting with agent coaching. We're the fastest-growing Medicare platform in the country, combining AI, an industry-leading CRM, and client services to transform how 10,000+ brokers acquire, enroll, and support clients in their local communities.
Cybersecurity Compliance Specialist Rutgers The State University of New JerseyCybersecurity Compliance SpecialistNew Brunswick, NJUnder Policy 100.3.1 Immunization Policy for Covered Individuals, if employment will commence during Flu Season, Rutgers University may require certain prospective employees to provide proof that they are vaccinated against Seasonal Influenza for the current Flu Season, unless the University has granted the individual a medical or religious exemption. Posting Number 26ST1544 Posting Open Date 07/20/2026 Special Instructions to Applicants Regional Campus Rutgers University-New Brunswick Home Location Campus Off Campus City New Brunswick State NJ Location Details.
GMDA ITD Business Analyst - Regulatory Team MUFG Americas Holdings CorpGMDA ITD Business Analyst - Regulatory TeamNew York, NY$80,000–$95,000 / yearAdditionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. Interface with Regulatory bodies (DTCC) to identify potential gaps and ensure compliance including any short/long term requirement which may impact internal Regulatory Reporting System file feeds and architecture.
Markets Trading - VP Barclays PlcMarkets Trading - VPNew York, NYBarclays Capital Inc. seeks Markets Trading - VP in New York, NY (multiple positions available): Facilitate the execution and automation of electronic foreign exchange (eFX) trades in accordance with established trading strategies and risk management policies. They may also lead a number of specialists to influence the operations of a department, in alignment with strategic as well as tactical priorities, while balancing short and long term goals and ensuring that budgets and schedules meet corporate requirements.
Vice President or Senior Vice President, Portfolio Management (Industry Focus: Financial Institutions and Insurance) KeyCorpVice President or Senior Vice President, Portfolio Management (Industry Focus: Financial Institutions and Insurance)New York, NY$96,000–$181,000 / yearAdditionally the VP, Portfolio Management will be responsible for ongoing credit monitoring and risk rating for a portfolio of corporate clients with a complexity profile commensurate to experience (primarily participation in other bank's syndicated deals with a small number of Left Lead deals), reviewing legal documentation, and assisting product partners in cross-selling additional bank products. Additionally, the Senior Vice President, Portfolio Management will be assigned a portfolio of high-value corporate clients (often with a significant number of Left Lead and highly complex deals) for which they will take ownership of ongoing credit monitoring and risk rating, negotiating and reviewing legal documentation, and assisting product partners in cross-selling additional bank products.
Senior Analyst, Order To Cash Priceline.comSenior Analyst, Order To CashNorwalk, CT$85,000–$105,000 / yearServe as SME for Priceline's OTC processes (invoicing/billing, cash application, A/R & A/P reconciliation, intercompany AR, collections), answering inquiries, resolving issues, and providing status updates to business partners and IT teams; provide functional expertise across OTC sub-lines to facilitate appropriate solution design. In this role you will get to: Lead moderate-size projects applying business knowledge, system expertise, decision-making, and project management skills; attend project status and system change reviews for requirements gathering, scope definition, and delivery oversight.
Sr. Business Analyst, Premium Products Capital One Financial CorpSr. Business Analyst, Premium ProductsNew York, NY$121,300–$138,400 / yearCurrently has, or is in the process of obtaining one of the following with an expectation that the required degree will be obtained on or before the scheduled start date: A Bachelor's Degree in a quantitative field (Business, Finance, Accounting, Statistics, Economics, Operations Research, Analytics, Mathematics, Computer Science, Computer engineering, Software engineering, Mechanical engineering, Information Systems or a related quantitative field). A Master's Degree in a quantitative field (Business, Finance, Accounting, Statistics, Economics, Operations Research, Analytics, Mathematics, Computer Science, Computer Engineering, Software Engineering, Mechanical engineering, Information Systems or a related quantitative field) or an MBA with a quantitative concentration.
Senior Business Analyst- Global Payment Network,Global Sales Enablement Capital One Financial CorpSenior Business Analyst- Global Payment Network,Global Sales EnablementNew York, NY$101,100–$115,400 / yearCurrently has, or is in the process of obtaining one of the following with an expectation that the required degree will be obtained on or before the scheduled start date: A Bachelor's Degree in a quantitative field (Business, Finance, Accounting, Statistics, Economics, Operations Research, Analytics, Mathematics, Computer Science, Computer engineering, Software engineering, Mechanical engineering, Information Systems or a related quantitative field). A Master's Degree in a quantitative field (Business, Finance, Accounting, Statistics, Economics, Operations Research, Analytics, Mathematics, Computer Science, Computer Engineering, Software Engineering, Mechanical engineering, Information Systems or a related quantitative field) or an MBA with a quantitative concentration.
Compliance Officer - Trade Surveillance Chicago Trading CompanyCompliance Officer - Trade SurveillanceNew York, NY$150,000–$200,000 / yearAs a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm's global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
Director, Bank & Prudential Regulatory Compliance The Bank of New York Mellon CorpDirector, Bank & Prudential Regulatory ComplianceNew York, NY$130,000–$211,500 / yearSupporting with the identification and management of issues, developing and overseeing remediation plans to ensure resolution efforts proceed timely and effectively; Advising, guiding and providing credible challenge to business lines and corporate functions in cooperation with Business Compliance Officers; Providing expert opinion on the impact of applicable regulations to the design and implementation of key corporate initiatives, products, and services; Participating in the development and execution of the BNYs Compliance risk assessment and Compliance testing routines; Drive the performance of regular compliance testing across the above referenced regulations. In this role, youll make an impact in the following ways: Lead implementation and recommend enhancements to BNYs Compliance frameworks, programs, and policies related to key safety and soundness regulations including, but not limited to FRB regulations K, O, R, W, Y and the Volcker Rule; Support with the development of the regulatory process to identify, implement and assess ongoing compliance for global market and credit risk related regulation.
Broker/Dealer Compliance, Associate Blue Owl Capital IncBroker/Dealer Compliance, AssociateNJ$100,000–$115,000 / yearAnchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation. Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm's broker-dealer affiliate, Blue Owl Securities LLC.
Regulatory Compliance, Principal Blue Owl Capital HoldingsRegulatory Compliance, PrincipalShort Hills, New Jersey$215,000–$225,000 / yearThe candidate will report to the team lead and be responsible for managing key workstreams focused on compliance with the Investment Company Act of 1940, including compliance support for Blue Owl’s Business Development Companies (BDCs), registered closed-end funds, and other 1940 Act products, among other areas. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation.
Managing Consultant/Associate Director - Fraud Advisory - Financial Crimes Risk And Compliance (Fcrc) GuidehouseManaging Consultant/Associate Director - Fraud Advisory - Financial Crimes Risk And Compliance (Fcrc)New York, NY$122,000–$204,000 / yearFacilitate working sessions with client stakeholders and third parties to evaluate current-state capabilities, define target-state needs, and prioritize pragmatic improvements to reduce fraud losses and operational friction. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs.
Broker/Dealer Compliance, Associate Blue Owl Capital HoldingsBroker/Dealer Compliance, AssociateShort Hills, New Jersey$100,000–$115,000 / yearAnchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation. Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm’s broker-dealer affiliate, Blue Owl Securities LLC.
Regulatory Compliance, Vice President Blue Owl Capital IncRegulatory Compliance, Vice PresidentNJ$215,000–$225,000 / yearThe candidate will report to the team lead and be responsible for managing key workstreams focused on compliance with the Investment Company Act of 1940, including compliance support for Blue Owl's Business Development Companies (BDCs), registered closed-end funds, and other 1940 Act products, among other areas. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation.
Head of Legal & Compliance, PIMCO Investments Pacific Investment Management Co LLCHead of Legal & Compliance, PIMCO InvestmentsNew York, NY$265,000–$305,000 / yearYou will partner with PI's Chief Compliance Officer in engaging with FINRA and related regulatory matters and will take the lead in drafting, reviewing, and negotiating a broad array of fund-related agreements-from intermediary and fund participation agreements to ETF authorized participant arrangements and contracts with essential service providers. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.
Originator, North America Compliance (Carbon & Fuels) 3DegreesOriginator, North America Compliance (Carbon & Fuels)New York, New York$94,000–$169,000 / yearDepending on the level at which you are hired (Originator I, II, or III), your day-to-day responsibilities will scale from supporting routine commercial tasks under general supervision to independently owning a book of business and direct production targets: Portfolio & Trade Execution: Propose, structure, and execute carbon allowance and clean fuel credit transactions in compliance markets. This process is intentionally structured to accommodate a range of experience levels—from an execution-focused associate looking to advance into a broader commercial path (level 1 Originator) up to an independent, senior producer (level 3 Originator).
Lead Auditor, Vice President - Regulatory Compliance Credit Agricole SALead Auditor, Vice President - Regulatory ComplianceNEW YORK, NY$150,000–$185,000 / yearSummary The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report. Key ResponsibilitiesII - Conduct of assignmentThe Lead Auditor conducts audit assignments from planning to issuance of the final report.