- Citigroup (Tampa, FL)
- …a senior compliance and operational risk manager for Global Wealth Securities Backed Lending (SBL) Independent Compliance Risk Management (ICRM) and Global ... 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 ... 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 ... more
- Aegon Asset Management (Baltimore, MD)
- …including assisting with the facilitation of regulatory approval processes for transactions. Securities Compliance + Collaborate with and provide advice to ... 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 ... more
- Wells Fargo (New York, NY)
- …the company's corporate governance, legal entity structure reporting, corporate treasury, and securities law compliance activities. **In this role, you will:** + ... more
- Lumen (Tallahassee, FL)
- …assist with Annual Shareholder Meeting + Maintain policies and procedures relating to securities law compliance and disclosure matters + Advise and assist ... more
- Packing Corp of America (Lake Forest, IL)
- …procurement, risk management, litigation, and transportation. Principle Accountabilities: + The Securities lawyer ensures compliance with the Securities ... more
- Elevance Health (Indianapolis, IN)
- …risks as well as mitigation techniques being utilized. + Advises on compliance with securities law, including reporting and disclosure requirements; assist ... more
- State of Montana (Helena, MT)
- …Securities Association (NASAA), and collaboration with other state regulators The Securities Compliance Technician serves this mission by performing ... more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge and skills obtained through experience, specialized training and/or certification in securities or compliance to support the Capital Markets Control ... 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 ... 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 ... more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... more
- PSEG (Newark, NJ)
- …the Proxy Statement, as well as the Company's quarterly earnings calls. * Oversees compliance with federal securities law on all disclosure and other matters for ... more
- TD Bank (New York, NY)
- …head and relevant trading personnel + Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that ... 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 ... 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 ... more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... more
- US Bank (Milwaukee, WI)
- …Deputy Chief Compliance Officer and focus on various aspects of GFS' compliance with various securities laws and regulations as well as tackling larger ... more
Related Job Searches:
Compliance,
Compliance Officer Securities,
Compliance Securities Division,
Compliance Securities Division Trade,
Securities,
Securities Compliance Attorney,
Supervisory Securities Compliance Examiner