- Fannie Mae (Washington, DC)
- …mortgage finance business. This may include mortgage products and securities , borrower behavior, investment and hedging strategies, residential property valuation, ... maintain documentation, code repositories, and model validation reports in compliance with regulatory requirements and internal policies.Stay current with emerging… more
- Morgan Stanley (New York, NY)
- …incentive packages, and other Morgan Stanley sponsored benefit programs. **Job:** ** Compliance * **Title:** *Institutional Securities Group (ISG) Compliance ... financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve… 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
- Wells Fargo (Irving, TX)
- …filings and other public disclosures, corporate treasury activities, corporate governance, and securities law compliance matters. + Review, provide comments, and ... advise on compliance with securities law requirements and best practices for significant environmental, social and governance disclosures, including… more
- Amentum (Chantilly, VA)
- …advice on a wide range of matters including mergers and acquisitions, securities laws compliance and corporate governance and secretarial requirements. This ... law firm and/or in-house legal experience handling mergers and acquisitions, securities laws compliance and corporate governance/secretarial responsibilities. +… more
- Adecco US, Inc. (New York, NY)
- …of experience in US Broker Dealer operations, front office, or related regulatory/ compliance expertise ( **10+ years preferred** ) + SEA Rule 15c3-3: Possession ... management within US Broker Dealer operations, front office, or related regulatory/ compliance areas. + Working knowledge of equities clearing, broker dealer… more
- Global Foundries (UT)
- …M&A, debt and equity financings), general corporate matters, public company reporting, securities law compliance , tax, treasury and corporate accounting support. ... + Advise on and own policies and procedures relating to securities law compliance and disclosure matters, including the administration of the Company's Insider… more
- Entergy (New Orleans, LA)
- …10-K, 10-Q and 8-K, the proxy statement and Section 16 filings, and managing securities law compliance programs. The successful candidate will be responsible for ... Corporate & Securities Attorney **Date:** May 28, 2024 **Location:** New...be paid overtime associated with such duties. **Job Segment:** Compliance , M&A, Venture Capital, Project Manager, Law, Legal, Finance,… more
- Regeneron Pharmaceuticals (Sleepy Hollow, NY)
- …to provide legal advice with regard to public company reporting, securities laws compliance , treasury/financing matters, corporate governance, and general ... work._ As a Director, Counsel for Corporate Governance & Securities a typical day may include: + Assist in...10 years of experience in SEC and public company compliance and corporate governance. Law-firm training preferred; experience with… more
- Dick's Sporting Goods (Coraopolis, PA)
- …role is based in Pittsburgh, PA at our corporate headquarters. + Responsible for securities law compliance and filings (10-Ks, 10-Qs, 8-Ks, proxy statements, and ... for this role is to lead the legal work related to (i) SEC compliance , public company disclosure and reporting, (ii) corporate governance matters, and (iii) capital… more
- Chemours (Wilmington, DE)
- …and tax. This position is lead attorney for the purposes of ensuring compliance with securities laws and related corporate governance issues, with significant ... practices, templates, tools, and associated policies, and training to ensure compliance with securities laws and related regulations. + Guide business leaders on… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as ... will have a dotted line to the President, Park Avenue Securities . Reporting into the PAS Chief Compliance Officer will be a team of associates. **You Are** +… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory ... expertise. Reports directly to the Head of Private Side Compliance Advisory for SMBC Nikko Securities Inc....Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** + Responsible for providing regulatory… more
- Sysco (Houston, TX)
- … Securities and Corporate Governance + Provide daily advice and counsel regarding compliance with federal securities and corporate laws, as well as applicable ... investor presentations and other significant public disclosures + Advise, develop compliance processes and coordinate training on applicable securities law… more
- JPMorgan Chase (Brooklyn, NY)
- …Compliance Risk Management Lead, you will report to the Americas Head of Securities Services Compliance , Conduct and Operational Risk (CCOR), and assist in ... the compliance risk coverage of the Securities Services businesses. Securities Services is comprised of a number of products and services which include… more
- TD Bank (New York, NY)
- …level to the firm's procedures + Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that transactions ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $120,000 - $225,000 USD TD is...minimal supervision and establish priorities **Who We Are** TD Securities offers a wide range of capital markets products… 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 ... to support the design, implementation, and oversight of a comprehensive compliance program for Global Wealth Solutions ("GWS") Investment Products. Leads major… more
- Mizuho Corporate Bank (New York, NY)
- …(ORF & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews Strong organizational and delivery skills ... About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience, specialized training and/or certification in securities industry compliance to manage and oversee the operation ... of all functions for Private Client Group (PCG) Compliance Training and Education (CTE). Manages department, associates, and division of responsibilities within the … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry to ensure compliance with all ... securities and/or banking rules and regulations. Coordinates compliance functions, guides compliance efforts, and act as a liaison between functional areas.… more
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