- Evolv Technology (Waltham, MA)
- …M&A Are you a skilled corporate attorney ready to take ownership of securities compliance and corporate governance at a fast-growing public technology company? ... this critical role, you'll be the point person for the Company's securities compliance and corporate governance matters, while leveraging your M&A expertise to… 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 ... Director, Assistant General Counsel - Governance and Securities The Governance & Securities team...relationships with business clients, attorneys, project managers, and corporate compliance professionals at all levels of the company **Basic… 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 (NJ)
- …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
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …will include supporting the Corporate Secretary in: + providing advice regarding securities law disclosure/ compliance , including Annual Reports on Form 10-K, ... proxy statement and preparing for the annual meeting of stockholders. + providing securities law advice and compliance guidance for earnings releases, investor… more
- Spire Energy (St. Louis, MO)
- …tax. This position is the lead attorney for the purposes of ensuring compliance with securities laws and related corporate governance issues, with significant ... Director, Associate General Counsel, Corporate Governance and Securities Apply now " Date: Jan 7, 2025...Section 16 filings. + Plan and execute activities in compliance with NYSE governance and filing requirements (including in… more
- Truist (Wilson, NC)
- …risk. + Manage selected vendor processes that have been outsourced that perform securities related work including compliance with Service Level Agreements (SLAs) ... the following job description:** JOB SUMMARY This position supports the Securities Operations unit for the Wealth Management business. This includes supporting… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of:** * Concepts, practices, and procedures of securities industry compliance reviews. * Rules and regulations of the ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- TD Bank (New York, NY)
- …Qualifications:** + BA/BS, or a similar degree, required. + Ten or more years securities compliance or related securities experience preferred. + Knowledge ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $185,000 - $225,000 USD TD is...+ 7-10 years related experience **Who We Are** TD Securities offers a wide range of capital markets products… more
- KeyBank (Brooklyn, OH)
- …other support and administrative groups to identify and mitigate retail broker/dealer, securities , AML, Fraud and insurance related compliance and reputational ... for effective compliance policies, procedures, training and surveillance for compliance with current applicable rules, regulations, securities laws, AML and… more
- Morgan Stanley (New York, NY)
- …business lines, legal entities and jurisdictions of operation. The Sales and Trading Compliance Group in Institutional Securities Compliance advises and ... financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve… 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, and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance . + Rules and regulations of the ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …obtained through education, experience, specialized training and/or certification in the securities or banking industry compliance to administer and manage ... **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. +...and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the … more
- Raymond James Financial, Inc. (CO)
- …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
- 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to support the Registrations ... and software applications. + Concepts, practices and procedures of securities industry and/or banking compliance reviews. +...and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the … more
- Raymond James Financial, Inc. (CO)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations ... apply securities and/or banking regulations and identify and recommend compliance changes as appropriate. + Work under pressure on multiple tasks concurrently… more
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