• Bilingual Spanish & English - Securities

    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
    Citigroup (10/19/24)
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  • Associate General Counsel - Securities

    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
    S&P Global (11/19/24)
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  • Manager, Governance & Securities

    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
    Netflix (11/08/24)
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  • 10+ Year Public Company Securities Law…

    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
    Robert Half Legal (11/16/24)
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  • Senior Legal Manager - Corporate…

    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
    Allegion (11/19/24)
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  • Broker/Dealer Compliance Officer

    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
    Siebert Williams Shank (10/04/24)
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  • Fixed Income Compliance Officer

    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
    SMBC (10/05/24)
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  • Senior Manager, Conduct Compliance

    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
    Scotiabank (11/01/24)
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  • Senior Monitoring and Testing Compliance

    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
    NatWest Markets (11/13/24)
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  • Chief Compliance Officer - Fifth…

    Fifth Third Bank, NA (Charlotte, NC)
    …Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Chief Compliance Officer , this position is responsible for ensuring policies and procedures ... of the Investment Advisers Act of 1940 and other securities laws. The covered regulations include, but are not...+ 5+ years as a Registered Investment Adviser Chief Compliance Officer or equivalent experience at a… more
    Fifth Third Bank, NA (10/17/24)
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  • Vice President, Mid-Back Business Control…

    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
    SMBC (11/20/24)
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  • Director Electronic Trading Compliance

    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
    NatWest Markets (10/09/24)
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  • Wealth Relationship Officer

    HSBC (Aventura, FL)
    …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
    HSBC (11/15/24)
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  • Senior Officer -Associate Regional Director

    Securities and Exchange Commission (Chicago, IL)
    …job announcement has been extended to December 2, 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 (11/13/24)
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  • Senior Officer -Associate Regional Director

    Securities and Exchange Commission (Chicago, IL)
    …job announcement has been extended to December 2, 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 (11/13/24)
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  • Compliance Officer (AVP) - Conflicts…

    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
    Citigroup (11/14/24)
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  • Vice President, Compliance Transformation…

    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
    SMBC (09/24/24)
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  • Executive Compliance Officer - Marex…

    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
    Marex (09/15/24)
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  • Compliance Officer

    Robert Half Legal (New York, NY)
    …excellent PTO and sick time are also offered. Requirements * Proven experience as a Compliance Officer or similar role within the non-profit sector for a minimum ... and other materials; and assisting with projects of the Assistant Vice President, Compliance Liaison & Privacy Officer and attorneys responsible for our pension,… more
    Robert Half Legal (11/16/24)
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  • Sr. Counsel & Deputy Compliance

    West Pharmaceutical Services (Exton, PA)
    Sr. Counsel & Deputy Compliance Officer Requisition ID: 67707 Date: Nov 26, 2024 Location: Exton, Pennsylvania, US Department: Legal Description: At West, we're ... our sustainability efforts. **Job Summary:** The Senior Counsel (Employment) and Deputy Compliance Officer will report directly to VP, Associate General Counsel,… more
    West Pharmaceutical Services (11/14/24)
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