- 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 (Los Angeles, CA)
- …The Division of Examinations- Los Angeles Regional Office is hiring a Supervisory Securities Compliance Examiner in Los Angeles, CA. Responsibilities At the ... entities over which the Commission has regulatory authority. As a Supervisory Securities Compliance Examiner, you will: Direct employees responsible for working… 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
- 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $190,000 USD TD is...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… 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
- 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
- US Foods (Rosemont, IL)
- …securities and public company-related matters. This position involves overseeing compliance with securities laws, managing public company reporting ... onsite days per week and the rest remote.** **Responsibilities:** + ** Securities Law Compliance and Reporting** + Oversee and manage all public company reporting… 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
- 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 ...of compliance risk as emphasized by the Securities and Exchange Commission (SEC). A significant part of… 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
- 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 ... level. Specialized experience includes: Providing legal advice on federal securities laws and compliance issues as they...legal advice on federal securities laws and compliance issues as they relate to securities -related… 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
- 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 ... administer Board Compensation, Board Expense reimbursement, and facilitates regulatory compliance required for Section 16 individuals. Assists in administering the… more
- Nuveen Investments (Frisco, TX)
- …7IC **Required Experience:** + 3+ years of proven knowledge and experience with securities laws, regulatory compliance , risk management and/or risk controls. + ... **Preferred Experience:** + 5+ years of proven knowledge and experience with securities laws, regulatory compliance , risk management and/or risk controls. +… 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
- Raymond James Financial, Inc. (Southfield, MI)
- …Skills, and Abilities:** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry compliance . + Rules and regulations of the ... through education, experience, specialized training, and/or certification in the securities industry, you will coordinate internal and external exams, audits,… more
- UKG (Ultimate Kronos Group) (MA)
- …of our equity compensation matters, including our periodic liquidity windows and securities compliance . + Ensure compliance with applicable laws, ... to join our Corporate Affairs team. The role will support our M&A, securities & equity compensation, and corporate secretarial functions. In this role, you'll work… 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...with internal stakeholders, including investment bankers, product groups and compliance as well as external counsel. + Stay current… more