• Supervisory Securities Compliance

    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 (11/05/24)
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  • Supervisory Securities Compliance

    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
    Securities and Exchange Commission (11/21/24)
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  • Director, Assistant General Counsel - Governance…

    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
    Capital One (11/07/24)
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  • Vice President, Regulatory Exam Management, TD…

    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
    TD Bank (11/14/24)
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  • Securities Attorney

    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
    Shoals Technology Group (10/29/24)
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  • Securities and Governance Counsel…

    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
    The Estee Lauder Companies (11/18/24)
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  • Sr. Counsel Corporate and Securities

    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
    US Foods (11/26/24)
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  • Assistant General Counsel, Corporate…

    Lockheed Martin (Bethesda, MD)
    …and securities law matters with three primary areas of focus: i\) securities law compliance , ii\) capital markets and corporate finance, and iii\) general ... corporate law support\. Securities law compliance : a\) provide legal advice on SEC disclosure issues and assist with or lead preparation and submission of annual… more
    Lockheed Martin (09/19/24)
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  • Senior Corporate Counsel, Securities

    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
    DuPont (11/20/24)
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  • Corporate & Securities Counsel

    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
    NRG Energy, Inc. (10/30/24)
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  • Senior Manager, Compliance Risk Assessment

    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
    Charles Schwab (11/25/24)
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  • Senior Paralegal, Securities and Governance…

    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
    BD (Becton, Dickinson and Company) (11/01/24)
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  • Supervisory Attorney-Adviser

    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
    Securities and Exchange Commission (11/05/24)
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  • Compliance Director- Financial Holding…

    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
    Raymond James Financial, Inc. (10/22/24)
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  • Corporate Governance Analyst

    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
    TXNM Energy (11/19/24)
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  • AVP, Principal Compliance Advisor

    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
    Nuveen Investments (11/06/24)
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  • Compliance Testing Advisor - M&T…

    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
    M&T Bank (11/07/24)
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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...role reports directly to the Director of Governance & Securities and is based in Los Angeles. The Governance… more
    Netflix (11/08/24)
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  • Manager, Supervision - Exam Coordination (Hybrid)

    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
    Raymond James Financial, Inc. (11/22/24)
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  • Senior Corporate Counsel, Corporate Affairs

    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
    UKG (Ultimate Kronos Group) (11/26/24)
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