- Citigroup (Tampa, FL)
- The Securities & Derivatives Associate Analyst is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and ... + Individual mapped to this job description is responsible for securities transaction processing execution + Typically related to Securities … more
- S&P Global (New York, NY)
- …executive compensation, compensation, health, benefits, and pensions. **Responsibilities:** + Ensure compliance with public company and securities law matters. + ... Secretary, and will lead a team of three attorneys, including securities , executive compensation, and benefits counsels. **Responsibilities and Impact:** The… more
- Netflix (Los Angeles, CA)
- …Governance ("ESG") reporting. Responsibilities + Support various corporate governance and securities matters, including SEC and NASDAQ compliance , and capital ... for a dynamic Manager to join the Governance & Securities Team within the Corporate Legal Team. The role...16 filings + Prepare and distribute the Director and Officer Questionnaires and related proxy items, as well as… more
- Robert Half Legal (Phoenix, AZ)
- …Commercial Real Estate industry and will require expertise in public company securities law AND investment management. The successful candidate must also have ... Provide legal counsel on matters related to public company securities law, including the 1934 Act and 1940 Act...Act * Prepare and review NASDAQ filings to ensure compliance * Oversee corporate transactions and governance activities *… more
- Allegion (Carmel, IN)
- …Reporting directly to the Deputy General Counsel Labor & Employment, Chief Compliance Officer , Assistant Corporate Secretary, the Senior Legal Manager - ... Corporate & Securities will play a key role in supporting the... Law) Matters:** + Provide support for Section 16 compliance matters for the company's officers and directors, including… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... risk management, provide advice on and oversight of SWS's compliance with US securities laws and regulations through critical thinking and proper application.… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing- compliance -assurance- officer -swap-dealer/apply?tm\_src=0) Our people work differently depending on… more
- SMBC (New York, NY)
- …LoD functions including Risk Management and Compliance . **Scope** The Nikko Securities America, Inc. Midback Business Control Officer is primarily an ... a competitive portfolio of benefits to its employees. **Job Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... and leverage broader Bank relationships, systems, and knowledge. + Provide day-to-day compliance support for equities securities trading and sales businesses by… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Share: ... the proper operations of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced compliance … more
- HSBC (Arcadia, CA)
- …a key supporting role in the achievement of the proposition objectives. The securities licensed Wealth Relationship Officer provides sales support to registered ... and growth of their portfolios. The role is not expected to provide securities recommendations to clients. The Wealth Relationship Officer is identified as… more
- Securities and Exchange Commission (Chicago, IL)
- …job announcement has been extended to December 16, 2024 The Senior Officer -Associate Regional Director position is in the Chicago Regional Office-Division of ... position is open to current SEC employees only. Responsibilities At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion… more
- Securities and Exchange Commission (Chicago, IL)
- …job announcement has been extended to December 16, 2024 The Senior Officer -Associate Regional Director position is in the Chicago Regional Office-Division of ... position is open to current SEC employees only. Responsibilities At the Securities and Exchange Commission (SEC), we are committed to diversity, equity, inclusion… more
- Morgan Stanley (New York, NY)
- …business lines, legal entities and jurisdictions of operation. The Sales and Trading Compliance Group in Institutional Securities Compliance advises and ... sponsored benefit programs. **Job:** ** Compliance * **Title:** *Equity Sales & Compliance Officer * **Location:** *New York-New York* **Requisition ID:**… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance officer , specifically relating to research publications & managing conflicts between Banking & Research for the Independent Compliance ... certifications, or securities licenses is a plus. **Job Family Group:** Compliance and Control **Job Family:** Product Compliance Risk Management **Time… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting requirements. The position will primarily… more