- TD Bank (New York, NY)
- …and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …/business objectives ** Position Requirements** + 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading ... integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance... Securities (USA) LLC and into the overall Compliance Framework. Focus will be on providing real-time … more
- Guardian Life (Nashville, TN)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...of base pay for the primary location of the position . The salary for this position ultimately… more
- HUB International (Chicago, IL)
- …future securities offerings and advise on a wide range of other securities -related matters, including regulatory compliance , SEC and SOX compliance , ... Reviews any press releases and other communications to ensure compliance with securities regulations. **Requirements:** + Juris...and Washington states: The expected salary range for this position is $190,000 to $250,000_ _and will be impacted… more
- Robert Half Legal (Irvine, CA)
- … suited for a detail-oriented legal expert with expertise in corporate governance, securities law, and regulatory compliance . The role requires a proactive ... processes, including reviewing and organizing relevant documentation. * Ensure compliance with securities laws and regulations, staying...Robert Half works to put you in the best position to succeed. We provide access to top jobs,… more
- Bristol Myers Squibb (Princeton, NJ)
- …Governance & Purpose Law will provide legal counsel relating to corporate governance, securities compliance , and disclosure matters for a public company, advise ... work and in their personal lives. Read more: careers.bms.com/working-with-us . ** Position :** Senior Corporate Counsel, Strategy, Securities , Governance & Purpose… more
- HP Inc. (Spring, TX)
- …/ review other SEC filings, including Forms 8-K and proxy materials. + Ensure compliance with federal securities laws and NYSE listing requirements. + Assist ... department is seeking a **Senior Corporate Counsel, Corporate & Securities ** . This role is responsible for advising on...law ('33 and '34 Act) and SEC reporting and compliance matters. + Experience with finance and capital markets… more
- TD Bank (New York, NY)
- …degree with progressive work experience + Minimum 7+ Years of related experience (in Compliance ) **Who We Are** TD Securities offers a wide range of capital ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- Dollar Tree (Chesapeake, VA)
- …Legal Officer, this role serves as a key advisor on SEC reporting, Nasdaq compliance , and corporate governance. The position provides strategic support to the ... ** Position Summary** The Vice President & Deputy General...executive leadership, and the Board of Directors. **Key Responsibilities** ** Securities Law Compliance & Finance Support** +… more
- Huntington National Bank (Columbus, OH)
- …limited to: + Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program ... at like size or larger organization. + 10+ years of progressively responsible compliance / securities industry experience required. + Series 7 and 24 with the… more
- Kestra Medical Technologies, Inc (Kirkland, WA)
- … is accountable for SEC filings and disclosures, corporate and board governance, compliance and disclosure aspects of securities offerings and insider trading. ... in securities law or corporate law, particularly in SEC compliance , board and corporate governance, capital markets or regulatory enforcement. + In-depth… more
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …the Corporate Secretary's office in: + Developing and providing advice regarding securities law disclosure/ compliance , including Annual Reports on Form 10-K, ... **Job Description Summary** This position supports the day-to-day operations and functions of...preparing for the annual meeting of shareholders + Providing securities law advice and compliance guidance for… more
- NetApp (Morrisville, NC)
- …will report to our Director, Corporate Legal. **Job Responsibilities:** + Handle securities law compliance , disclosure, and reporting under federal securities ... and investment matters + Maintain programs and policies to ensure compliance with securities -related regulatory requirements, NASDAQ listing standards,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- Robert Half Finance & Accounting (Houston, TX)
- …We're seeking a Senior Compliance Associate with a robust background in securities compliance to join our wealth management client. The ideal candidate will ... A minimum of 5 years of experience in a compliance role at a securities broker-dealer or...Robert Half works to put you in the best position to succeed. We provide access to top jobs,… more
- Manulife (Boston, MA)
- …the Chief Compliance Officer ("CCO's Office") in its mission to affect compliance with federal securities laws applicable to John Hancock Investment Company ... The Compliance Manager is responsible for the execution and/or...Funds Complex, and their Advisers, sub-advisers, and service providers. ** Position Responsibilities:** + Manage standards/processes/procedures/programs that enable John Hancock… more
- GE Vernova (New York, NY)
- …and management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a ... of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). + Demonstrated understanding of the UK Financial… more
- Huron Consulting Group (Van Buren, AR)
- …the General Counsel to advise the company on corporate governance matters, ensure compliance with securities laws and stock exchange regulations, and support the ... for transaction advisory engagements. **Key Responsibilities:** + Advise on securities law, NASDAQ listing standards and corporate governance matters, staying… more
- Robert Half Finance & Accounting (Boston, MA)
- …meet the following qualifications: 7-10 years of experience in financial services compliance , particularly with equity securities at an asset management firm. ... Asset Management firm in Boston looking to add a Compliance Manager to the team. As a Compliance...Expertise in securities regulations ( Securities Acts of 1933 and 1934; Investment Advisers/Company Act… more