- Securities and Exchange Commission (Boston, MA)
- Summary The Division of Examinations is hiring a Supervisory Securities Compliance Examiner in the Boston Regional Office. Responsibilities At the Securities ... entities over which the Commission has regulatory authority. As a Supervisory Securities Compliance Examiner, you will: Direct employees responsible for… more
- Securities and Exchange Commission (Atlanta, GA)
- Summary The Division of Examinations - Atlanta Regional Office is filling one position for a Supervisory Securities Compliance Examiner, SK-1831-15 in ... entities over which the Commission has regulatory authority. As a Supervisory Securities Compliance Examiner, you will: Direct employees responsible for working… more
- US Foods (Rosemont, IL)
- …advising management on securities and public company-related matters. This position involves overseeing compliance with securities laws, managing ... skills, and proven experience working with public companies. **This position has been segmented as Hybrid meaning there is...days per week and the rest remote.** **Responsibilities:** + ** Securities Law Compliance and Reporting** + Oversee… more
- Capital One (Mclean, VA)
- …including ESG reporting. Additionally, you will provide support for a range of securities compliance and disclosure matters, manage the administration of certain ... States of America, McLean, Virginia Director, Assistant General Counsel - Governance and Securities The Governance & Securities team is seeking an experienced… more
- DuPont (Wilmington, DE)
- …transactions and assisting with other banking and investment matters. + Ensure compliance with applicable securities regulations; partner with the External ... back to communities in which we work and live. ** Position Summary** DuPont de Nemours, Inc. seeks to recruit...highly visible and influential role as Senior Corporate Counsel, Securities and M&A. The Senior Corporate Counsel will be… more
- The Estee Lauder Companies (New York, NY)
- …and Assistant Corporate Secretary is responsible for overseeing all corporate governance and securities law compliance matters and providing legal counsel to the ... compensation disclosures, Section 16 filings, Section 13 filings, and other securities regulatory compliance matters (including conflict minerals disclosures).… more
- Lockheed Martin (Bethesda, MD)
- …and securities law matters with three primary areas of focus: i\) securities law compliance , ii\) capital markets and corporate finance, and iii\) general ... corporate law support\. Securities law compliance : a\) provide legal advice...to this job, you are expressing interest in this position and could be considered for other career opportunities… more
- M&T Bank (Clanton, AL)
- …promotion of the Compliance Testing Group within the organization. This position would support the testing of M&T Securities , Institutional Services &Wealth ... other related duties as assigned. **Nature and Scope:** The position works under the direction of the Compliance... position works under the direction of the Compliance Testing Manager and is required to exercise independent… more
- TD Bank (New York, NY)
- …range of debt offerings for domestic and international issuers. + Advise on compliance matters related to securities laws and regulations. Collaborate closely ... matters to join our dynamic legal team at TD Securities USA LLC. As a senior attorney specializing in...for a wide range of transactions and initiatives. The position will provide support to other members of the… more
- S&P Global (New York, NY)
- …executive compensation, compensation, health, benefits, and pensions. **Responsibilities:** + Ensure compliance with public company and securities law matters. + ... **Grade Level (for internal use):** 15 **About the Role:** **The Team:** This position reports directly to the Deputy General Counsel and Corporate Secretary, and… more
- NRG Energy, Inc. (Princeton, NJ)
- …4-5 times per year **Responsibilities:** **_Securities and Corporate Governance_** + Ensure compliance with federal and state securities laws, with focus on ... and provide leadership on a wide range of corporate, securities , and governance matters. The role would report directly... matters for a publicly traded company, including ensuring compliance with SEC and NYSE rules and regulations; preparing… more
- Siebert Williams Shank (New York, NY)
- …will assist with risk management, provide advice on and oversight of SWS's compliance with US securities laws and regulations through critical thinking and ... affected business units in order to minimize bureaucracy and process burden * Provide compliance support for the Municipal Securities Division, with a focus on… more
- Superior Energy Services (Houston, TX)
- …minutes and resolutions, and will include matters relating to Delaware Law compliance , public disclosures, securities exchange rules (and monitoring changes to ... through the legal department. This is a full-time office position based at our Downtown offices in Houston, Texas....securities law and public company experience with some compliance related activity. *A combination of law firm and… more
- Wells Fargo (Charlotte, NC)
- …this position requires extensive experience in cash management, regulatory compliance and process optimization. The Lead Securities Operations Specialist ... **About this role:** Wells Fargo is seeking a Lead Securities Operations Specialist overseeing Funding and Liquidity for Wells Fargo Clearing Services, playing a… more
- DISH Network (Littleton, CO)
- …Hughes, DISH TV, Sling TV, Boost Mobile, OnTech and GenMobile. **Department Summary** The securities , M&A and governance VP position is based at the company's ... work as needed. + Develop and maintain policies for compliance with securities -related regulatory requirements, including the...attention to detail and ability to work independently. This position will manage direct reports and will be heavily… more
- The Hershey Company (Hershey, PA)
- …Governance & M&A. This position will be responsible for ensuring compliance with securities laws, rules and regulations, including preparation and filing ... is a must. * Major Duties/Responsibilities: * * Summary of major duties:* * Securities and Corporate Governance* -Ensure compliance with securities laws,… more
- Charles Schwab (Southlake, TX)
- …conflict of interest expectations. + Professional certification(s): including Certified Regulatory Compliance Manager (CRCM), Certified Securities Compliance ... assessing, and reporting on changes regarding the levels of compliance risk as emphasized by the Securities ...sabbatical after every 5 years of service for eligible positions + Paid parental leave and family building benefits… more
- SMBC (New York, NY)
- … compliance processes. SCOPE Provide advice and oversight of SMBC's infrastructure compliance program, including bank, securities and swap dealer laws and ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Securities and Exchange Commission (Boston, MA)
- …a Supervisory Attorney-Adviser, you will: Direct employees responsible for conducting securities compliance examinations, and participate in planning and ... to the GS/SK-13 level. Specialized experience includes: Providing legal advice on federal securities laws and compliance issues as they relate to securities… more
- TXNM Energy (Albuquerque, NM)
- …and responds to inquiries as appropriate Assists in documenting and completing securities compliance filings required on behalf of Section 16 individuals ... Job ID: 6088780 Date Posted:Nov 18, 2024 **POSTING DEADLINE** This position is posted until filled. **DEPARTMENT** Department: Law Department **JOB DESCRIPTION**… more