- TD Bank (New York, NY)
- …TD Securities US this role is pivotal in maintaining the US TD Securities ' compliance framework, ensuring that it is robust, adaptive, and aligned with ... York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $200,000 - $280,000 USD TD is committed to providing fair… 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
- 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
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to ... Surveillance Compliance professionals engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … 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
- 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 ... + Experience: A minimum of 5 years of experience in a compliance role at a securities broker-dealer or investment adviser. COST TO ENTER THE GAME + Bachelor's… more
- KeyBank (Amherst, NY)
- …of wealth management related (eg - trust/fiduciary, asset management, private banking, securities , etc.) compliance , risk management, and/or internal or external ... wealth management products and services (eg - trust, private banking, securities /investment management) as well as trust/fiduciary related compliance ,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Case Method, and Training ROI evaluation. + Concepts, practices, and procedures of securities industry compliance . + Rules and regulations of the Securities ... **Essential Duties and Responsibilities** + Build and drive the Enterprise Compliance Training Program. Develop a strategy to incorporate emerging compliance … more
- Raymond James Financial, Inc. (Memphis, TN)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering ... **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules...and procedures of securities industry and/or banking compliance . + Rules and regulations of: Securities … more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more