- Sirius XM (New York, NY)
- … Governance is a key leadership role responsible for overseeing corporate governance, securities compliance , and regulatory matters for the company. This ... and investor relations teams to align corporate governance and securities compliance with business strategy. Manage relationships...to vary. We expect the base salary for this position to be in the range of $218,000 -… more
- Realty Income (San Diego, CA)
- …A professional compliance qualification (eg Investment Adviser Certified Compliance Professional (IACCP, Certified Securities Compliance Professional ... breakroom, our team members make a difference every day. Position Overview: Realty Income is looking to hire a...looking to hire a VP of Fund & Regulatory Compliance to join our compliance team. This… more
- TD Bank Group (New York, NY)
- …New York, New York, United States of America Hours: 40 Line of Business: TD Securities Pay Detail: $100,000 - $120,000 USD TD is committed to providing fair and ... more specific details for this role. Job Description: TD Securities Corporate and Investment Banking provides a full range...assist with rolling out any firm- or bank-wide initiatives. Position Overview: The Investment Banking group is a demanding… more
- Citigroup, Inc. (Tampa, FL)
- The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or ... objective of this role is to ensure the seamless delivery of securities and derivatives transactions. Responsibilities: Manage a complex critical large professional… more
- LHH Recruitment Solutions (New York, NY)
- Corporate and Securities Paralegal - Onsite, NYC LHH Recruitment Solutions is seeking an experienced Corporate and Securities Paralegal with at least 3 years of ... experience supporting attorneys in Corporate Securities law to work on a full-time basis in NYC. The ideal candidate will have a solid background in corporate … more
- The HR Source (New York, NY)
- Job Description Job Title: Contract Financial Attorney (Municipal Bonds & Securities Law) Location: New York, NY (4 days onsite) Type: Contract (6-8 Months with ... Reports To: General Counsel or Senior Financial Legal Counsel Position Summary We are seeking a seasoned Contract Financial...bonds , New York State law , and federal securities regulations , particularly SEC Rule 15c2-12 . This… more
- Life Time, Inc. (Chanhassen, MN)
- …information, employee indicative data, eligibility dates, tax withholding rates, etc. Ensures compliance with regulations and securities laws. In addition, will ... compensation, flexible hours, and a fully subsidized Signature Life Time Membership. Position Summary As the Equity Stock Plan Administrator for Life Time you… more
- Southern California Edison (SCE) (Rosemead, CA)
- …including identifying legal and business risks and recommending solutions. Securities /Corporate Governance Sr Attorney oversees compliance with federal ... Transmission and Distribution and Local Public Affairs. Among other things, the position involves: a) interpreting, negotiating and drafting a wide variety of real… more
- Crescent City Recruitment Group (New York, NY)
- …and SEC filings . Conduct legal research and provide regulatory analysis related to securities law compliance and corporate governance . Support the execution of ... Experience : Prior exposure to complex capital markets transactions, securities offerings, or corporate governance is preferred. Sector Interest: Interest… more
- Pernini Legal, LLC (New York, NY)
- …and SEC filings . Conduct legal research and provide regulatory analysis related to securities law compliance and corporate governance . Support the execution of ... with increasing responsibility as experience and skill develop. Why Join Us? This position offers a unique opportunity to develop your legal career within a… more
- Marex (New York, NY)
- …activities as well as knowledge of various regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory ... more information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory… more
- Huntington National Bank (Indianapolis, IN)
- …to the client. Ensures that all business is suitable for clients and in compliance with all state and federal securities regulations. Works closely with internal ... branch network. The HFA Region Manager oversees regional sales activities, regulatory compliance , field operational execution and care for HFA clients to include… more
- Marex (New York, NY)
- …The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate ... various other regulatory reporting requirements, including TRACE and RTRS reporting. The position will primarily focus on providing real-time compliance advisory… more
- Goldman Sachs, Inc. (New York, NY)
- Job Description Global Compliance Our division prevents, detects and mitigates compliance , regulatory and reputational risk across the firm and helps to ... strengthen the firm's culture of compliance . Compliance accomplishes these through the firm's...are able to adapt to a changing regulatory landscape. Position Overview: The role of a Global Banking &… more
- Alpha Omega Integration (Vienna, VA)
- Job Title: Senior Policy Compliance Analyst Clearance Required: Public Trust Work Location: Hybrid in Alexandria, VA Alpha Omega is seeking a qualified and ... experienced Senior Policy Compliance Analyst to join our Information Security team. In...and Benefit Information: The likely salary range for this position is $101,258 - $112,500. This is not, however,… more
- The TCW Group (Los Angeles, CA)
- Position Summary The Senior Analyst, Data Management plays a critical role in ensuring the accurate, timely and comprehensive setup of security attributes, issuer ... attributes and other data sets that support the investment, accounting and compliance functions utilizing Aladdin and external data sources (Bloomberg, Intex, LSEG,… more
- Manulife and John Hancock (Boston, MA)
- …experience Comprehensive knowledge of the 1940 Act registered products and compliance practices Extensive Knowledge of the US investment/ securities industry, ... The Compliance Director provides compliance support and...to the John Hancock Funds' independent Board of Trustees. Position Responsibilities: Provide support and guidance on product development… more
- MUFG Bank, Ltd. (Tampa, FL)
- …A member of our recruitment team will provide more details. Trade Services Operations Compliance Analyst position is located in Tampa, Florida. This unique First ... Line of Defense team is responsible for three compliance activities: Conducting Anti-Money Laundering Red Flag reviews, analyzing...and make decisions on appropriate actions to take. This position has been created for the purpose of our… more
- Capital One (Arlington, VA)
- …are seeking a highly motivated Accounting Manager to support Capital One Securities , a broker dealer registered with the Financial Industry Regulatory Authority ... (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible for managing a team of accounting professionals, balancing… more
- Computershare (Columbia, MD)
- Job Description Location: Columbia, MD Hybrid This is a hybrid position primarily based in Columbia, MN. We're committed to your flexibility and wellbeing and our ... and innovation you can trust. When you join this dynamic team as a Securities Administration Services Analyst II you will enjoy a career, teamwork, flexibility and… more
