- Terns Pharmaceuticals (San Mateo, CA)
- …legal operations. In-depth experience and understanding of public company governance, securities law compliance , preparation of corporate disclosures, and Board ... records in legal databases. Conduct research and draft summaries related to securities laws, biotech and corporate governance trends. Prepare and execute NDAs, CDAs,… more
- SBB Research Group (Northbrook, IL)
- Summary The Chief Compliance Officer will be a member of SBB Research Group's growing legal and compliance team; support the firm's core hedge-fund business ... (including corporate and investment fund matters); support the firm's compliance function; and provide general legal support. Responsibilities Assist with the annual… more
- Tools for Humanity (San Francisco, CA)
- …closely with the Worldcoin Foundation and other partners to ensure regulatory compliance in areas such as securities , AML/CFT, consumer protection, litigation, ... years of experience working as a consultant, project manager, financial compliance manager or paralegal, especially at a financial institution, e-Money/payments… more
- LOS ANGELES CAPITAL MANAGEMENT LLC (Los Angeles, CA)
- …developing models for measuring and forecasting return and risk of global equity securities . The Firm manages approximately $34.2 billion as of June 30, 2025, across ... of human resources experience Knowledge of state and federal laws and compliance matters Knowledge of Microsoft Office Suite Ability to handle confidential matters… more
- CannabizTeam (San Diego, CA)
- …initial & amended articles of incorporation, stock certificates, and other securities , buy-sell agreements, closing papers and binders, deeds, and trust instruments ... Advanced understanding of legal frameworks, litigation process, case management, and compliance with local, state, and federal regulations, supporting seamless case… more
- DWS Group (New York, NY)
- …the individual will primarily focus on trading Non-Agency Securitized Credit Securities for mutual funds, institutional accounts and ETFs Your Key Responsibilities: ... and efficiency. Successful relationship and interactions with Operations, Technology, Compliance , Risk and Audit. Your Skills & Experience: Proven trading… more
- CWCapital (Washington, DC)
- …will also perform credit analyses on pools of commercial mortgage-backed securities (CMBS), with exposure to both agency and non-agency debt. ... due diligence materials; present conclusions to internal credit committees. Ensure compliance with regulatory requirements and internal policies across CW's loan and… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the ... Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology, Advisory Compliance… 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 ... **Key Responsibilities** + Provide legal guidance on corporate governance and securities law compliance for a public company. + Support SEC filings, including… more
- 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)
- …will support the continued integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework. Focus will be ... compliance /business objectives **Position Requirements** + 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading… more
- Eaton Corporation (Beachwood, OH)
- …releases, investor presentations, marketing materials, and the Company's website. * Advise on securities law, compliance with SEC and NYSE rules and regulations, ... Eaton's legal organization is hiring a Counsel, Securities and Governance in Beachwood, Ohio at the US Headquarters. **What you'll do:** The Counsel, Securities … more
- Dollar Tree (Chesapeake, VA)
- …with the CLO, executive leadership, and the Board of Directors. **Key Responsibilities** ** Securities Law Compliance & Finance Support** + Advise on US federal ... securities law compliance and disclosure matters, including the Securities Act of 1933 and the Exchange Act of 1934. + Oversee related policies and… 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, ... proxy statement and preparing for the annual meeting of shareholders + Providing securities law advice and compliance guidance for earnings releases, investor… 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 , ... the US. + Reviews any press releases and other communications to ensure compliance with securities regulations. **Requirements:** + Juris Doctorate (JD) degree… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… 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 ... discovery processes, including reviewing and organizing relevant documentation. * Ensure compliance with securities laws and regulations, staying updated on… 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 ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $185,000 - $225,000 USD TD is committed to providing fair ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York...such as Title 12. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more
- Lincoln Financial (Greensboro, NC)
- …* Monitor, track, and advise on potential impacts of new and proposed corporate and securities laws to ensure continued compliance * Stay up to date on ... this opportunity. **Requisition #:** 75212 **The Role at a Glance** As an AVP, Securities & Corporate Governance Attorney, you will perform legal work on a broad… more
