- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities / Transactions Audits (Hybrid) Capital One's Audit function is a dedicated ... of the Audit team, the candidate will focus on operational and compliance audits, including operations of investment ( securities and transactions).… more
- Citigroup (Tampa, FL)
- …a senior compliance and operational risk manager for Global Wealth Securities Backed Lending (SBL) Independent Compliance Risk Management (ICRM) and Global ... for Global Wealth Deposits and Lending businesses. **Responsibilities:** + Provide compliance product coverage to Global Wealth SBL business. Provide compliance… more
- Evolv Technology (Waltham, MA)
- …to the General Counsel. In this critical role, you'll lead the Company's securities compliance and corporate governance work, ensuring we uphold the highest ... you will: + Familiarize yourself with Evolv's corporate governance framework and securities compliance processes. + Build strong relationships with the legal,… more
- TD Bank (New York, NY)
- …+ 5-7 Years of related experience **Preferred Qualifications:** + Seven or more years securities compliance or related securities experience required. + JD ... you more specific details for this role. **Job Description:** The VP Compliance , TD Securities oversees/leads a team(s) of specialists/professionals providing… 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
- Shoals Technology Group (Portland, TN)
- …work closely with our executive leadership and cross-functional teams to ensure compliance with securities laws and regulations Responsibilities: Provide legal ... guidance and support on securities law compliance , including reporting and disclosure obligations under federal securities laws. Collaborate with our finance… more
- Packing Corp of America (Lake Forest, IL)
- …management and administration of the Legal department. Principle Accountabilities: + The Securities lawyer ensures compliance with the Securities Exchange ... * Trust The Assistant General Counsel assigned to the Securities section will serve as the company's securities...securities law, focusing on public company reporting and compliance + Strong verbal and written communications with the… more
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
- State of Montana (Helena, MT)
- …Securities Association (NASAA), and collaboration with other state regulators The Securities Compliance Technician serves this mission by performing ... and Insurance (CSI) has an exciting opportunity available for a part-time* Compliance Technician*in the Securities Division!**To learn more about the Agency,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge and skills obtained through experience, specialized training and/or certification in securities compliance to ensure compliance with all ... and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry compliance reviews. + Rules and regulations of the Securities … more
- Aegon Asset Management (Cedar Rapids, IA)
- …business, accounting, or other relevant field + 8+ years of regulatory or securities compliance experience, preferably in a retail broker-dealer and investment ... compliance policies, procedures, and controls to ensure compliance with applicable SEC, FINRA, and state securities... compliance with applicable SEC, FINRA, and state securities rules and regulations. + Creating training for home… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering… more
- Lincoln Financial (Radnor, PA)
- …* Monitor, track, and advise on potential impacts of new and proposed corporate and securities laws to ensure continued compliance * Stay up to date on ... perform legal work on a broad range of US securities and corporate law matters, with an emphasis on...appropriate ADDITIONAL POSITION RESPONSIBILITIES * Carries out duties in compliance with all state and federal regulations and guidelines.… more
- State of Maine, Bureau of Human Resources (Gardiner, ME)
- …Excel. Minimum qualifications: Education, training, and/or experience in investigations, compliance , business administration, securities , finance, law, or ... Licensing Coordinator ( Securities Specialist) - Anticipated Vacancy - Agency Only...close coordination with other Office staff to ensure industry compliance with applicable laws and regulations. If you are… more
- VF Corporation (Denver, CO)
- …around environmental, sustainability and governance topics + Manage the legal compliance framework for securities policies and mandatory environmental and ... or www.vfc.com . **What will you do?** A day in the life of Senior Counsel, Securities & Cap Markets at VF looks a little like this. As Senior Corporate Counsel at… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …skills obtained through education, experience, specialized training, and/or certification in securities industry compliance to design, implement and supervise a ... + Financial services and products. + Concepts, practices, and procedures of securities industry compliance . + Investment concepts, practices and procedures used… more
- Raymond James Financial, Inc. (New York, NY)
- …with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation,...to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will manage ongoing Compliance risk coverage planning that… more
- Raymond James Financial, Inc. (NY)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage ... **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. +...and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the … more