- 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
- 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. This divisional GC position is situated within ... 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
- 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 ... and annual meetings of stockholders, Section 16 filings, and director and officer matters. + Assist with preliminary transaction documents and closing formalities,… more
- Morgan Stanley (New York, NY)
- …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve ... Profile: The Finance Division reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance...Market Risk and Bank Resource Management Lead in Institutional Securities Group (ISG) Finance. You will play a pivotal… 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)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the compliance program for an investment advisory firm in Manhattan,… 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
- 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
- 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
- State of Michigan (East Lansing, MI)
- State Administrative Manager 15 (Deputy Chief Compliance Officer ) Print (https://www.governmentjobs.com/careers/michigan/jobs/newprint/4715521) Apply State ... Administrative Manager 15 (Deputy Chief Compliance Officer ) Salary $93,681.00 - $134,751.00 Annually Location East Lansing, MI Job Type Permanent Full Time… 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
- 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
- West Pharmaceutical Services (Exton, PA)
- Sr. Counsel & Deputy Compliance Officer Requisition ID: 67707 Date: Oct 28, 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
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer...+ Strong knowledge of and experience with the federal securities laws, with an emphasis on the Investment Company… more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... have a reporting line to a supportive and experienced compliance officer based in New York. You...+ You will have experience ideally gained in brokerages, securities trading, regulator or exchange environments, with knowledge of… more