- NYL - Matthews (Charlotte, NC)
- …requirements include, but are not limited to, applicable FINRA general securities , agent state law, investment advisory licenses, compliance history, ... and investment products such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring… more
- Wells Fargo (Spokane, WA)
- …and various remediation projects to ensure timely completion, quality, and compliance * Lead, participate and collaborate with peers, colleagues and mid-level ... managers in adherence, development and interpretation of policies, procedures, and compliance requirements * Act as the primary point of escalation for operational… more
- JPMorgan Chase (Houston, TX)
- …entire team of bankers, advisors, region heads, product partners and compliance teams. **Job Responsibilities** + Provide Client Service Associates with guidance ... transactions accurately, within established deadlines, and in accordance with existing compliance policies and procedures + Research, follow-up and resolve escalated… more
- HP Inc. (Palo Alto, CA)
- Assistant General Counsel, Senior Director - Board Operations and Securities Compliance Location: Palo Alto, CA or Houston, TX Reports to: Deputy General ... as Assistant General Counsel, Senior Director - Board Operations and Securities Compliance . This role is pivotal in driving HP's financial reporting, corporate… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the ... Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology, Advisory Compliance… more
- Iron Mountain (Boston, MA)
- …and commercial lending transactions + Assist the Deputy General Counsel on securities compliance matters, including the preparation, drafting and filing of ... initiatives. Additionally, this role includes assisting with the company's compliance with federal securities laws and state corporate laws as well as New… more
- TD Bank (New York, NY)
- …will support the continued integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework. Focus will be ... compliance /business objectives **Position Requirements** + 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading… more
- Eaton Corporation (Beachwood, OH)
- …releases, investor presentations, marketing materials, and the Company's website. * Advise on securities law, compliance with SEC and NYSE rules and regulations, ... Eaton's legal organization is hiring a Counsel, Securities and Governance in Beachwood, Ohio at the US Headquarters. **What you'll do:** The Counsel, Securities … 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, ... proxy statement and preparing for the annual meeting of shareholders + Providing securities law advice and compliance guidance for earnings releases, investor… 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 , ... the US. + Reviews any press releases and other communications to ensure compliance with securities regulations. **Requirements:** + Juris Doctorate (JD) degree… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Bristol Myers Squibb (Princeton, NJ)
- …on appropriate method and timing of public disclosures, ensuring legal review and compliance with all statements made, including securities and regulatory law ... careers.bms.com/working-with-us . **Position Summary** The Senior Corporate Counsel, Disclosure & Securities Law will provide legal counsel on securities and… more
- Guardian Life (Nashville, TN)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... **Preferred Qualifications:** We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance ...(i) public and private offerings of equity and debt securities . + Assist in the development and build out… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance . + Rules and regulations of the ... Duties and Responsibilities** As a core member of the Compliance team, you will serve as a subject matter...you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while… more
- TD Bank (New York, NY)
- …level to the firm's procedures + Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that transactions ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $275,000 - $275,000 USD TD is...more specific details for this role. **Job Description:** TD Securities is seeking a highly motivated Asset Backed Securitization… 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
- ManpowerGroup (New York, NY)
- …environment + Collaborate with experienced professionals and develop your expertise in securities compliance + Gain valuable experience in policy development and ... Our client is seeking a Employee Compliance Registrations professional to join their team. As...large, complex projects involving multiple teams + Knowledge of securities broker/dealer registration and licensing rules + Proficiency in… more
- Altium (San Diego County, CA)
- …preferred + International Compliance Association (ICA) certification required; Certified Securities Compliance Professional (CSCP) is a strong plus + ... We are looking for a Manager, Cloud Security and Compliance who will oversee the adherence of Cloud Business...in the life of our Manager, Cloud Security and Compliance :** + You'll establish compliance standards and… more
- Raymond James Financial, Inc. (Memphis, TN)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering ... **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules...and procedures of securities industry and/or banking compliance . + Rules and regulations of: Securities … more
