Top Tech Jobs & Startup Jobs in NYC, NY

Provides financial planning guidance, investment recommendations, and wealth management solutions to TD Wealth clients. Responsibilities include client onboarding, needs analysis, annual reviews, relationship management, lead generation, referrals, sales goal achievement, regulatory compliance, AML and customer identification procedures, and collaboration with banking partners. The advisor also develops client relationships, supports community initiatives, and may coach or mentor other financial advisors.

Executes and leads moderately complex technology audits, including planning, walkthroughs, control testing, evidence evaluation, issue management, and reporting. Assesses IT general and automated controls supporting business processes, identifies control gaps, communicates findings to stakeholders, and follows up on remediation. The role also provides subject matter expertise, supports audit initiatives, maintains documentation, and may coach others.

Leads complex technology audits, including planning, risk assessment, control testing, issue identification, remediation validation, and audit reporting. Provides supervisory oversight, delegates work, coaches auditors, reviews workpapers, manages concurrent audits, and advises stakeholders and senior management on technology risks, controls, regulatory requirements, and emerging trends. Requires expertise in areas such as cybersecurity, information security, IAM, technology governance, or business resiliency.

Leads TD Securities’ global first-line framework for managing audit, regulatory, self-identified, and control issues. Establishes standards for issue classification, ownership, remediation, evidence, escalation, reporting, and sustainable closure across regions and legal entities. Provides oversight of high-risk and regulator-sensitive matters, develops executive and Board-level reporting, coordinates regulatory messaging, and influences senior stakeholders across Risk, Compliance, Legal, Internal Audit, Technology, Operations, and business leadership. Manages staff and supports a strong risk and control culture.

Oversees daily operational workflow, transaction processing, documentation, servicing-system setup, and service-level performance. Serves as a subject-matter expert and first escalation point for complex operational issues, supporting relationship managers, business development officers, customers, vendors, and legal counsel. Reviews and approves transaction documentation, booking, funding, tax setup, and payments within delegated authority. Manages risk, regulatory compliance, reporting, process improvements, training, and small initiatives while maintaining strong customer and partner relationships.

Leads TD Securities’ applied AI and innovation capability, setting strategy across generative AI, agentic systems, retrieval, reasoning, and multimodal models. Builds and manages a multidisciplinary AI team, identifies high-value business opportunities, and oversees experimentation, evaluation, architecture, governance, and production deployment. Partners with front-office, engineering, data, quantitative, risk, compliance, and technology teams to deliver reliable, explainable AI capabilities for capital-markets workflows, decision support, automation, client intelligence, and risk analysis.

Performs second-line Enhanced Due Diligence reviews for high-risk customers during onboarding, periodic, and event-driven reviews. Assesses customer risk, source of funds, ownership, business activity, and transactions for AML, BSA, and OFAC compliance. Documents findings, recommends risk mitigation and customer decisions, identifies emerging risks, supports audits and regulatory examinations, improves KYC processes, and provides subject matter expertise, training, and guidance to stakeholders and junior analysts.

The Compliance Quality Assurance Manager oversees compliance testing, ensuring adherence to policies and improving operational performance. This role involves strategic guidance, conducting independent reviews, and leading projects while fostering a culture of compliance.

Manage and administer regulatory, supervisory, and risk-management programs for TD Wealth, including conflicts of interest, Regulation W, licensing/registration, marketing review, and business continuity. Monitor controls, maintain inventories and documentation, prepare governance reporting, coordinate remediation, support exams/audits, and lead process improvements using Lean/Six Sigma to enhance efficiency, automation, and oversight.

Leads commercial banking relationship development for middle-market clients, acquiring new business and expanding existing portfolios. Cross-sells lending, treasury, capital markets, and investment services; negotiates loan terms; supports credit decisions and issue resolution; and achieves portfolio growth, sales, and retention goals. Builds referral networks and community relationships while coaching less experienced relationship managers and ensuring compliance with banking, regulatory, and risk requirements.