- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities / Transactions Audits (Hybrid) Capital One's Audit function is a dedicated ... of the Audit team, the candidate will focus on operational and compliance audits, including operations of investment ( securities and transactions).… 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
- Guardian Life (Annapolis, MD)
- …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
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
- TD Bank (New York, NY)
- …+ 7-10 years related experience **Preferred Qualifications:** + Ten or more years securities compliance or related securities experience preferred. + ... 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… more
- Evolv Technology (Waltham, MA)
- …to the General Counsel. In this critical role, you'll lead the Company's securities compliance and corporate governance work, ensuring we uphold the highest ... you will: + Familiarize yourself with Evolv's corporate governance framework and securities compliance processes. + Build strong relationships with the legal,… more
- Packing Corp of America (Lake Forest, IL)
- …management and administration of the Legal department. Principle Accountabilities: + The Securities lawyer ensures compliance with the Securities Exchange ... to legal ethical standards and business standards is required. Position Requirements: + Must be a graduate of an...securities law, focusing on public company reporting and compliance + Strong verbal and written communications with the… more
- VF Corporation (Greensboro, NC)
- …around environmental, sustainability and governance topics + Manage the legal compliance framework for securities policies and mandatory environmental and ... or www.vfc.com . **What will you do?** A day in the life of Senior Counsel, Securities & Cap Markets at VF looks a little like this. As Senior Corporate Counsel at… 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 ... details for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements to existing… more
- Aegon Asset Management (Cedar Rapids, IA)
- …business, accounting, or other relevant field + 8+ years of regulatory or securities compliance experience, preferably in a retail broker-dealer and investment ... Financial Advisor (TFA) is searching for a Director of Compliance . This position will report to TFA's... compliance policies, procedures, and controls to ensure compliance with applicable SEC, FINRA, and state securities… more
- NetApp (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
- Lincoln Financial (Boston, MA)
- …accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts ... with internal/external stakeholders to ensure transparency and consistency of compliance actions. ADDITIONAL POSITION RESPONSIBILITIES + Carries out… more
- Equitable (Charlotte, NC)
- …and follow the organization-specific policies and guidelines, affecting business practices. ** Securities Laws and Regulations (SLR) Compliance :** Knowledge of ... Compliance Officer ( 25000075 ) **Primary Location** :...offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC office. Equitable… more
- Equitable (Milwaukee, WI)
- …Financial Professional compliance training. The base salary range for this position is $80,000 - $85,000. Actual base salaries vary based on skills, experience, ... ability to apply knowledge of risk management appropriately to diverse situations. ** Securities Laws and Regulations (SLR) Compliance :** Knowledge of … more
- Chewy (Plantation, FL)
- …from you! Come run with the Pack! **What You'll Do:** + Provide advice on compliance with securities laws and NYSE rules and regulations + Support the ... ability to work independently in a fast-paced environment. This position will report to the Director, Associate General Counsel....+ At least 5+ years relevant SEC reporting and securities law compliance experience; at least 3+… more
- Chemours (Wilmington, DE)
- …**Wilmington, DE** and report directly to the **Chief Corporate Governance and Securities Counsel, Assistant Corporate Secretary.** This position will be ... is an attorney within the Office of the Corporate Secretary ensuring compliance with securities laws, related corporate governance issues, advising on debt… more
- Robert Half Legal (Reno, NV)
- …management in a dynamic, publicly traded environment. A strong background in securities compliance , corporate governance, and commercial contract support is ... the Legal Department in all facets of corporate and securities law, regulatory filings, compliance , and contract...Robert Half works to put you in the best position to succeed. We provide access to top jobs,… more
- MyFlorida (West Palm Beach, FL)
- …NOTES: Four (4) or more years of professional examination, regulatory or compliance work experience relating to securities dealers, investment advisers, ... or broker-dealer. + Individuals who hold or have held securities industry licenses, regulatory compliance certifications, or...designation. It is the agency's goal to fill multiple positions with this advertisement. This position requires… more
- Aegon Asset Management (Cedar Rapids, IA)
- …field, or equivalent education and experience. + Five years of insurance and/or securities regulatory compliance experience. + A general knowledge of insurance ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...and securities laws, regulations, rules, etc. + FINRA licensing (Series… more