- NYL - Matthews (Charlotte, NC)
- …requirements include, but are not limited to, applicable FINRA general securities , agent state law, investment advisory licenses, compliance history, ... such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed...New York Life accepts applications for the Financial Professional position on an ongoing basis. Qualified candidates are encouraged… more
- Guardian Life (Columbus, OH)
- …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
- 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 , ... Reviews any press releases and other communications to ensure compliance with securities regulations. **Requirements:** + Juris...and Washington states: The expected salary range for this position is $225,000 to $300,000_ _and will be impacted… more
- Robert Half Legal (Seattle, WA)
- …including term sheets, stock purchase agreements, and voting agreements. * Ensure compliance with securities laws, including exemptions under the Securities ... compliance for equity crowdfunding, Regulation A+, and other securities offerings. * Manage mergers, acquisitions, and restructuring transactions,...Robert Half works to put you in the best position to succeed. We provide access to top jobs,… more
- Copeland (St. Louis, MO)
- …and senior finance leadership team, playing a critical role in ensuring compliance with applicable securities laws, stock exchange requirements, and internal ... listing requirements. + Maintain and update insider trading records and support compliance with the company's securities trading policy, including assisting with… 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 ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- Dollar Tree (Chesapeake, VA)
- …Legal Officer, this role serves as a key advisor on SEC reporting, Nasdaq compliance , and corporate governance. The position provides strategic support to the ... ** Position Summary** The Vice President & Deputy General...executive leadership, and the Board of Directors. **Key Responsibilities** ** Securities Law Compliance & Finance Support** +… 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, ... **Job Description Summary** This position supports the day-to-day operations and functions of...preparing for the annual meeting of shareholders + Providing securities law advice and compliance guidance for… more
- MUFG (Irving, TX)
- … Compliance Testing (ACT) is an integral part of the MUFG Regulatory Compliance Risk Management function. This position executes a compliance testing ... to Federal and State laws, regulations, and supervisory guidance overseen by the Compliance Group. This influential position will perform compliance testing… more
- Bristol Myers Squibb (Princeton, NJ)
- …. ** Position Summary** The Senior Corporate Counsel, Disclosure & Securities Law will provide legal counsel on securities and disclosure ... and timing of public disclosures, ensuring legal review and compliance with all statements made, including securities ...work from Los Angeles County if hired for this position , please visit this page for important additional information:… more
- SpaceX (Hawthorne, CA)
- …a wide variety of complex legal and business issues. RESPONSIBILITIES: + Own securities law compliance , corporate governance matters, and board support + ... committee charters, and governance policies + Architect and implement compliance framework for securities laws and regulations...standing, in at least one US State + This position is based in Hawthorne, CA and requires being… more
- Equitable (Philadelphia, PA)
- …ability to apply knowledge of risk management appropriately to diverse situations. ** Securities Laws and Regulations (SLR) Compliance :** Knowledge of ... Sr. Regional Compliance Manager ( 250000LL ) **Primary Location** :...enhance process/modules efficiency. The base salary range for this position is $85,000 - $90,000. Actual base salaries vary… more
- Robert Half Legal (Buffalo, NY)
- …investment firms and high-tech companies, providing strategic legal advice. * Ensure compliance with securities laws and regulations in all client transactions. ... handling private venture investments, mergers and acquisitions (M& A), securities law, and general corporate matters. This is an...Robert Half works to put you in the best position to succeed. We provide access to top jobs,… more
- KeyBank (Brooklyn, OH)
- …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
- GE Vernova (New York, NY)
- …and management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a ... of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). + Demonstrated understanding of the UK Financial… more
- Athene (West Des Moines, IA)
- …+ Support filing strategies to drive timely approvals and competitive speed-to-market. Regulatory & Securities Compliance + Advise on compliance with the ... our Legal team in West Des Moines, IA. This position is critical to shaping Athene's individual and group...annuity and registered financial products. + Experience with regulatory compliance under the Securities Act of 1933… more
- State of Montana (Helena, MT)
- …in the market through oversight of the securities industry * Examining the securities industry for compliance with the Montana Securities Act *About this ... Job Opportunity* We are currently seeking a* Securities Division Investigator and Financial Examiner*. This ...to analyze the financial condition of the firms, ensuring compliance with state and federal securities regulatory… more
- Aegon Asset Management (Denver, CO)
- …ability to assess/engage various technologies, including AI Preferred Qualifications + Securities and/or compliance designations + Experience supporting retail ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, the funds for… more
- Equitable (Charlotte, NC)
- …experience + Experience in dealing with sophisticated investment advisory and securities brokerage compliance issues and substantive product knowledge in ... Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary Location** :...offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC or New… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
