- 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
- 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
- TD Bank (Chicago, IL)
- …+ 7+ years of relevant experience **Preferred Job Experience:** + Consumer compliance experience + CRCM, CIA, or CPA certification + Corporate and Investment ... Banking, Capital Markets, investment strategy, broker/dealer operations, fiduciary and trust services experience is a plus **Who We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by… 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
- Elevance Health (Indianapolis, IN)
- …manages work independently. **How you will make an impact:** + Advises on compliance with securities law, including reporting and disclosure requirements; assist ... outside counsel strongly preferred. + Extensive experience with SEC filings and securities law compliance . + Proven ability to manage and lead legal aspects of… more
- Packing Corp of America (Lake Forest, IL)
- …procurement, risk management, litigation, and transportation. Principle Accountabilities: + The Securities lawyer ensures compliance with the Securities ... Assistant General Counsel - Securities Lake Forest, IL 60045, USA Req #21679...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
- Raymond James Financial, Inc. (Memphis, TN)
- …and skills obtained through education, experience, specialized training and/or certification in securities compliance to support Private Client Group (PCG) ... Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance . + Rules and regulations of the … 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of:** * Concepts, practices, and procedures of securities industry compliance reviews. * Rules and regulations of the ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- PSEG (Newark, NJ)
- …the Proxy Statement, as well as the Company's quarterly earnings calls. * Oversees compliance with federal securities law on all disclosure and other matters for ... Corporate and Commercial is responsible for leading the Corporate, Securities and Commercial functions of PSEG's Legal Department. This...must complete a 10 CFR Part 810 Export Control Compliance Nationality Request Form, a copy of which will… 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
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... risk. This is a newly created role on the TD Securities US Core Compliance team that will oversee issues management, including managing and performing reporting… 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
- 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
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