- SBB Research Group (Northbrook, IL)
- …as needed. Provide legal advice to executives with respect to a variety of general corporate matters including corporate policies and procedures. Interacting ... Summary The Chief Compliance Officer will be a member of SBB Research...compliance team; support the firm's core hedge-fund business (including corporate and investment fund matters); support the firm's compliance… more
- Terumo Medical Corporation (Somerset, NJ)
- …and data management. Additionally, the Senior Corporate Counsel and Chief Privacy Officer will work with the Associate General Counsel to develop long and ... Sr. Corporate Counsel & Chief Privacy Officer ...privacy concerns comply with relevant laws and regulations, including securities law, antitrust law, and industry-specific regulations. + Stay… more
- Terns Pharmaceuticals (San Mateo, CA)
- …of corporate disclosures, and Board processes. Experience supporting a General Counsel/Chief Legal Officer and Legal Department within a clinical-stage ... Location: Foster City, California (on-site) Reports to: Chief Legal Officer and Corporate Secretary Who We Are:...legal databases. Conduct research and draft summaries related to securities laws, biotech and corporate governance trends.… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local… more
- HUB International (Chicago, IL)
- …**ABOUT THE ROLE** Join our growing team! Hub is looking for an **Associate General Counsel, Securities and Deputy Corporate Secretary** , who will ... closing. + Monitor SEC and stock exchange rules and corporate governance developments. + Advise company on securities...on insider trading, market manipulation, and other violations of securities law. + Support the Chief Legal Officer… more
- Dollar Tree (Chesapeake, VA)
- **Position Summary** The Vice President & Deputy General Counsel, Securities & Corporate Affairs, and Assistant Corporate Secretary is a senior legal ... & Compliance Department. Reporting directly to the Chief Legal Officer , this role serves as a key advisor on...a key advisor on SEC reporting, Nasdaq compliance, and corporate governance. The position provides strategic support to the… more
- TD Bank (New York, NY)
- …and planning skills. + Proficient in Excel, Word, PowerPoint and SharePoint. ** General Job Description:** The Senior Compliance Officer provides advice, guidance ... details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US...Continuous The above statements are intended to describe the general nature and level of work being performed by… more
- TD Bank (New York, NY)
- …Identify, assess, and resolve potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment Banking, Capital ... role. **Job Description:** We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD... to join our Compliance Control Room at TD Securities . This role is critical in reviewing, managing and… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing ... with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as ... Continuous The above statements are intended to describe the general nature and level of work being performed by...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …manage regulatory risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual contributor role providing ... Continuous The above statements are intended to describe the general nature and level of work being performed by...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Truist (Seattle, WA)
- …review the following job description:** Responsible for marketing and selling of Corporate Trust & Escrow Services ("CTES") business in specified markets, regions, ... close sales. CTES provides broad transactional expertise to help Commercial, Municipal and Corporate clients in CCB, CIG and Wealth meet their financial goals and… more
- Idaho Division of Human Resources (Boise, ID)
- …finance/economics/business administration or related field, OR a JD AND + General knowledge of investment securities , investment operations, industry standards ... Investment Officer Posting Begin Date: 2025/09/24 Work Type: Full...rebalancing, cash and custody operations, custodial reporting and analytics, corporate governance activities, participating in actuarial and capital markets… more
- TD Bank (New York, NY)
- …and Excel. + Attentiveness to detail and ability to work independently. ** General Job Posting:** The Compliance Officer supports consumer regulatory compliance ... you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in the development and… more
- Citigroup (Bethesda, MD)
- …range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. ... Job Description The Mortgage Lending Officer role is a developing professional role. This...Strong relationship development and management skills + Expertise of general lending products and overall mortgage industry. + This… more
- Unity Technologies (New York, NY)
- …will be responsible for leading the team responsible for advising on a broad range of general corporate and securities law issues in support of Unity's ... role reports to the Senior Vice President, Chief Legal Officer of Unity, and will be located in our...M&A or investment transactions, as applicable. + Manage the corporate securities and equity operations team. +… more
- Citigroup (Jersey City, NJ)
- … and Investment Banking, Capital Markets, Sales and Trading business. + A general understanding of securities trading and corresponding regulations with proven ... Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform encompasses a… more
- Generac Power Systems (Waukesha, WI)
- …General Counsel, and plays an important role in serving as the principal corporate compliance officer for the company and providing legal guidance and support ... the organization is compliant with legal and regulatory requirements, the Deputy General Counsel develops and implements effective corporate governance and… more
- MUFG (New York, NY)
- …KYC due diligence process by engaging and closely collaborating with Corporate Banking clients, Relationship Managers, Product Groups, Onboarding Unit, Quality ... KYC due diligence; + Responsible for maintaining an understanding of various Corporate Banking client relationships, working with various local product areas & other… more
- Snap Inc. (Seattle, WA)
- …a paralegal with a fast-growth company in the technology space + Familiarity with general corporate matters and governance; knowledge of corporate , SEC, M&A, ... array of matters, including privacy, product, IP, commercial transactions, corporate governance, employment, acquisitions, litigation, and policy, and social impact.… more
