- JPMorgan Chase (New York, NY)
- …impacting the Securities Services business and our clients. As the Regulatory Practice Americas Manager for Securities Services , you will ... for our clients. Be part of the dynamic Global Regulatory Practice team (with locations across Europe,...product and control partners. + Anticipate client demand for regulatory service solutions and adapt products/ services… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** The role will be part of TD Securities Business Regulatory Initiatives (BRI) team which plays a lead role in ... to regulation and good practice principles for all jurisdictions in which TD Securities operates. BRI is a first line (1A) team which reports into the Business.… more
- 3M (Maplewood, MN)
- …and member of a United States bar in good standing; + Ten (10) years of securities law practice in a corporate in-house or law firm environment, with a thorough ... **Job Description:** **Director, Assistant General Counsel - Corporate & Securities ** **Collaborate with Innovative 3Mers Around the World** Choosing where to start… more
- Bristol Myers Squibb (Princeton, NJ)
- …in our work environment. We offer a wide variety of competitive benefits, services and programs that provide our employees with the resources to pursue their ... Read more: careers.bms.com/working-with-us . **Position:** Senior Corporate Counsel, Strategy, Securities , Governance & Purpose Law (Senior Director) **Location** :… more
- TD Bank (New York, NY)
- …tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . **Responsibilities:** + ... integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework....Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +… more
- Bank of America (Pennington, NJ)
- Transaction Management Ops Analyst - Specialized Securities Services Pennington, New Jersey **To proceed with your application, you must be at least 18 years of ... be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Pennington/Transaction-Management-Ops-Analyst Specialized- Securities - Services \_25039569) **Job Description:** At Bank of America,… more
- TD Bank (New York, NY)
- …will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . In addition, this ... + Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +...such as Title 12. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more
- Citigroup (New York, NY)
- …Security Agency Trading business through the negotiation of the Master Securities Forward Transaction Agreement. Applicants should have experience in GSE Agency ... securities transactions and the negotiation of Master ...industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating as appropriate + Collaborates across internal… more
- Hawaiian Electric (Honolulu, HI)
- …the qualifications of the selected candidate. ASSOCIATE GENERAL COUNSEL (LITIGATION & REGULATORY ) JOB FUNCTION: Provide in-house legal services , with an emphasis ... inception to judgment and appeals. SENIOR ASSOCIATE GENERAL COUNSEL (LITIGATION & REGULATORY ) JOB FUNCTION: Provide in-house legal services , with an emphasis… more
- TXNM Energy (Albuquerque, NM)
- Regulatory Attorney III or IV Location: Albuquerque, NM, United States Job ID: 6087702 Date Posted:May 8, 2025 **POSTING DEADLINE** This position is posted until ... law experience + Litigation experience + Transactional law experience + Regulatory compliance experience + Experience with environmental, social, and governance… more
- Equitable (Charlotte, NC)
- …Charlotte, NC location. Equitable is currently looking to hire a Paralegal within the Regulatory Affairs Practice Group which is a part of Equitable's Legal and ... Operations Team and enjoy working for a leading financial services company with an amazing and diverse culture! We...discipline + Experience with life insurance products and the regulatory regimes (eg, state insurance laws, federal securities… more
- Citigroup (Irving, TX)
- …laws that apply to Citi as a large US corporation with publicly issued securities . This role will provide legal advisory services in connection with maintaining ... Counsel 2 position is an attorney role inf Citi's Regulatory Requirements and Obligation Program that is a hybrid...Consumer Protection laws pertaining to Citi as a financial services provider so that Citi maintains an accurate Financial… more
- Truist (Lumberton, NC)
- …Division, as well as support of certain Truist Capital Market's products, Treasury Service 's and Deposit Service 's products, and bond accounting functions for ... billion fixed income portfolio, $75+ billion funding portfolio, pledged investment securities and pledged loans. Contribute to the achievement of the organization's… more
- SMBC (New York, NY)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President… more
- Edward Jones (St. Louis, MO)
- …advocacy and policy perspectives. This opportunity will afford candidates with demonstrated financial services regulatory experience to be part of a culture that ... the volume of applicants. This position in the Legal Regulatory team will work with business, Compliance, and other...colleagues involving broker-dealer rules and regulations under the federal securities laws, including the Securities Act of… more
- TD Bank (New York, NY)
- …be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . **Key Responsibilities** ... focus on providing real-time compliance advice to the TD Securities (USA) LLC Research group, Strategist teams and others...+ Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +… more
- Edward Jones (Tempe, AZ)
- …+ At least 3 years of legal and/or compliance experience required in the securities (or other highly regulated) industry, private practice , public sector, or ... offering the role as home-based, though future business or regulatory needs may require on-site work.** In this role,...and business issues. + Partners with business areas and service providers to ensure compliance with federal and state… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …(SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) ... trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Some guidance is provided to… more
- Raymond James Financial, Inc. (Denver, CO)
- …(SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) ... **Essential Duties and Responsibilities:** * Monitors the sales practice activities of branch managers through the use...managers. * Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. * Monitors and… more
- NatWest Markets (Stamford, CT)
- …and capital markets businesses with experience across a wide range of regulatory requirements (AML/KYC, securities rules, Dodd Frank, etc.). + Demonstrated ... US Client Services and Onboarding, Manager LocationStamford,United States Job typePermanent...Partner with second line and project teams to deliver regulatory change and understand the impact across client operations… more