- State of Georgia (Fulton County, GA)
- Securities Senior Lead Enforcement Attorney Georgia - Fulton - Atlanta ... the supervision of the Securities Division ("Division") Director, the Senior Securities Enforcement Attorney is the person primarily responsible for the… more
- HUB International (Chicago, IL)
- …ROLE** Join our growing team! Hub is looking for an **Associate General Counsel, Securities and Deputy Corporate Secretary** , who will play an important role in the ... preparation for future securities offerings and advise on a wide range of...all Section 16 forms for Section 16 officers. + Lead the Section 16 compliance tracking reporting for Board… more
- Southern California Edison (Rosemead, CA)
- …and local statutes, regulations and policies, and representing the Company in a lead counsel capacity before regulatory and enforcement agencies, including the ... Join the Clean Energy Revolution Become a Regulatory Senior Attorney at Southern California Edison (SCE) and...section of the Law Department with assigned matters to lead and work independently. Prior experience in the utility… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- BMO Financial Group (Denver, CO)
- …loans as defined by Regulation Z, Regulation G, and the Secure and Fair Enforcement for Mortgage Licensing Act (the SAFE Act). This position will require a Federal ... team to meet client needs when acting as the lead relationship manager. + Manages the retention and expansion...review the client's banking needs. + Makes recommendations to senior leaders on strategy and new initiatives, based on… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $190,000 USD TD is committed to providing fair ... Oversight **Reports to:** AVP, Head of FCRM Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business...management behaviors aligned with TD policies and practices. + Lead US FCRM TDS Business Oversight efforts, providing advisory… more
- Charles Schwab (Westlake, TX)
- …stakes regulatory enforcement matters. This role is expected to help senior leaders across the enterprise navigate difficult challenges to their businesses and ... status quo" and transform the finance industry together. The Litigation, Enforcement , and Internal Investigations team is affectionately and colloquially known as… more
- MyFlorida (Tallahassee, FL)
- …cases under state and federal antitrust laws, Florida False Claims Act, Florida securities law, Civil Racketeering and as needed civil complex enforcement of ... position in this class. This position works under the direct supervision of a senior level attorney. I. INVESTIGATION OF ANTITRUST VIOLATION: Assists the Lead … more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- MUFG (Jersey City, NJ)
- …+ Promote actions to address root causes of risks that may lead to operational losses or regulatory breaches. **Cybersecurity Controls and Reporting:** + ... + Effectively communicate complex cybersecurity concepts to non-technical stakeholders and senior management across the Combined US Operations. + Prepare detailed… more
- PNC (Pittsburgh, PA)
- …product strategies across all lending domains (home lending, consumer/commercial securities -based lending, custom lending) * Have knowledge of financial markets, ... key inputs that drive loan pricing and capital * Lead product development/enhancement initiatives across a portfolio of products...and third parties within the industry. + Serves as senior point of escalation and ensures successful outcomes from… more