- 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
- Mastercard (Salt Lake City, UT)
- …of legal documents and business communications, with a focus on assistance with securities , compliance and governance matters in addition to on-going public ... and business communications. Responsibilities Include: * Advise on corporate governance and securities law matters; * Ensure compliance with public company… 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
- 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 on SEC disclosure issues and assist with or lead preparation and submission of annual… more
- Global Foundries (UT)
- …M&A, debt and equity financings), general corporate matters, public company reporting, securities law compliance , tax, treasury and corporate accounting support. ... + Advise on and own policies and procedures relating to securities law compliance and disclosure matters, including the administration of the Company's Insider… more
- American Express (New York, NY)
- …and review agreements and governance documents + Manage processes for regulatory filings and securities law compliance + Monitor securities law and industry ... Amex and let's lead the way together. The Corporate Securities Group of the General Counsel's Organization is seeking...seeking a Manager & Counsel to advise on corporate securities and transactional matters. **Here's just some of what… more
- GE HealthCare (Chicago, IL)
- …will join a team at GE HealthCare that oversees and coordinates US and global securities law compliance as well as board of directors, shareholder, and other ... global equity compensation, and diligence. + Assist with document archiving for securities and governance and M&A team records and administrative matters related to… more
- Entergy (New Orleans, LA)
- …10-K, 10-Q and 8-K, the proxy statement and Section 16 filings, and managing securities law compliance programs. The successful candidate will be responsible for ... ventures and venture capital and start-up investments and public and private securities offerings as well as other corporate financing matters including credit… more
- Chemours (Wilmington, DE)
- …This position is the senior lead attorney for the purposes of ensuring compliance with securities laws and related corporate governance issues, with significant ... practices, templates, tools, and associated policies, and training to ensure compliance with securities laws and related regulations. + Guide business leaders on… more
- Guardian Life (Columbus, OH)
- …to be part of a collaborative Legal Compliance Team? As a Lead 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
- DuPont (Wilmington, DE)
- …transactions and assisting with other banking and investment matters. + Ensure compliance with applicable securities regulations; partner with the External ... highly visible and influential role as Senior Corporate Counsel, Securities and M&A. The Senior Corporate Counsel will be...independence to ensure that work is done ethically and compliance with law. Demonstrate a commitment to all DuPont… 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
- The Hartford (Wayne, PA)
- … compliance ; portfolio compliance experience preferred. + Knowledge of US securities compliance (Investment Company Act of 1940 and Investment Adviser Act ... Compliance Analyst - 87LB6E We're determined to make...with sound understanding of equities, fixed income, and derivative securities . + Excellent analytical skills and the ability to… more
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …operations and functions in providing legal support on public company securities reporting and corporate governance compliance . Responsibilities will include ... preparation and solicitation process. + Perform benchmarking and research on various securities and governance matters. + Prepare filings for NYSE compliance .… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the firm's overall efforts ... and IBM Open Pages recommended. * Concepts, practices, and procedures of securities industry compliance . * Rules and regulations of the Securities Exchange… more
- Airtable (Los Angeles, CA)
- …corporate and compliance counsel, who will drive all corporate and securities matters, and ensure we have a robust and public-company-ready compliance ... corporate legal matters, including corporate governance, private and public financing, M&A, securities law compliance , and equity administration. + Help lead… more
- Huntington National Bank (Columbus, OH)
- …or equivalent work experience in the financial industry. + 3 or more years of Securities or Compliance experience with a basic understanding of SEC and FINRA ... Description Compliance Specialist Sr. - Branch Examiner Must be...50%) outside of the home office location. The HFA Compliance Specialist, Sr. will be part of the 2nd… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of** * Concepts, practices, and procedures of securities industry compliance . * Federal Reserve Bank Regulations governing ... education and experience to manage and oversee the operation of all compliance functions covering the Financial Holding Company requirements that apply across… more
- M&T Bank (Clanton, AL)
- **Overview:** The Compliance Testing Advisor is responsible for the managing, leading, and execution of compliance testing engagements utilizing a risk-based ... approach in line with department standards to ensure the Bank's compliance with applicable laws, rules & regulations. The Compliance Testing Advisor is also… 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...role reports directly to the Director of Governance & Securities and is based in Los Angeles. The Governance… more