- 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
- 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
- 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
- Brink's (Coppell, TX)
- …team. This role will be responsible for providing legal support on securities law compliance , corporate governance, and public company reporting obligations. ... Responsibilities: Securities and Public Company Reporting + Advise on securities law compliance , including the Securities Act of 1933, Exchange Act of… more
- Lumen (Austin, TX)
- …assist with Annual Shareholder Meeting. + Maintain policies and procedures relating to securities law compliance and disclosure matters. + Advise and assist ... function to play in supporting the SVP in managing Lumen's Governance and Securities . The ideal candidate will be responsible for ensuring regulatory compliance … 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
- State of Arkansas (Little Rock, AR)
- … firms, broker-dealers, and investment advisers in an attempt to ensure compliance with securities laws and regulations. This role involves supporting ... practices to identify abnormalities, irregularities, or areas of concern. Evaluate basic compliance with securities laws, regulations, and policies. Support the… more
- Robert Half Legal (Chicago, IL)
- …a 10-15% bonus target and a phenomenal benefits package. Senior Corporate & Securities Paralegal Responsibilities: SEC Compliance & Reporting: + Assist in the ... with a publicly traded holding company that's seeking a Senior Corporate & Securities Paralegal with at least 7-10+ years of experience to join their team.… more
- Guardian Life (Annapolis, MD)
- …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
- 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
- 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
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to ... Surveillance Compliance professionals engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … 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 Office 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
- VF Corporation (Greensboro, NC)
- …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. (St. Petersburg, FL)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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
- HSBC (Buffalo, NY)
- … risks. Experience in assurance or audit roles preferred. Experience in securities compliance is a plus + Preferably bachelors/master's in accounting, ... team of global professionals. As our Audit Manager, Regulatory Compliance , Conduct and Legal (RCCL) Audit you will: +...US RCCL Audit team on matters related to Regulatory Compliance and Legal risk frameworks, Data Analytics etc +… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $120,000 - $190,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
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