- JPMorgan Chase (New York, NY)
- …impacting the Securities Services business and our clients. As the Regulatory Practice Americas Manager for Securities Services , you will ... for our clients. Be part of the dynamic Global Regulatory Practice team (with locations across Europe,...product and control partners. + Anticipate client demand for regulatory service solutions and adapt products/ services… more
- 3M (Maplewood, MN)
- …and member of a United States bar in good standing; + Ten (10) years of securities law practice in a corporate in-house or law firm environment, with a thorough ... **Job Description:** **Director, Assistant General Counsel - Corporate & Securities ** **Collaborate with Innovative 3Mers Around the World** Choosing where to start… more
- TD Bank (New York, NY)
- …tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . **Responsibilities:** + ... integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework....Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +… more
- Bristol Myers Squibb (Princeton, NJ)
- …public disclosures, ensuring legal review and compliance with all statements made, including securities and regulatory law compliance for a public company. + ... environment. We offer a wide variety of competitive benefits, services and programs that provide our employees with the.... **Position Summary** The Senior Corporate Counsel, Disclosure & Securities Law will provide legal counsel on securities… more
- Medtronic (Northridge, CA)
- …Day in the Life** This newly created Principal Legal Counsel - M&A, Securities and Corporate Governance role supports the Diabetes MiniMed business as it prepares ... for a legal professional with deep expertise in mergers and acquisitions and securities law to contribute to the strategic direction of a business undergoing a… more
- JPMorgan Chase (Jersey City, NJ)
- …being built out as part of a strategic reengineering effort supporting the Securities Services businesses within the JPMorgan Chase Commercial & Investment Bank. ... include Business Expertise spanning Buy-side and Sell-side perspectives on Securities & Derivatives Products and Functional & Information Architecture experience… more
- Citigroup (New York, NY)
- …Security Agency Trading business through the negotiation of the Master Securities Forward Transaction Agreement. Applicants should have experience in GSE Agency ... securities transactions and the negotiation of Master ...industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating as appropriate + Collaborates across internal… more
- Hawaiian Electric (Honolulu, HI)
- …the qualifications of the selected candidate. ASSOCIATE GENERAL COUNSEL (LITIGATION & REGULATORY ) JOB FUNCTION: Provide in-house legal services , with an emphasis ... inception to judgment and appeals. SENIOR ASSOCIATE GENERAL COUNSEL (LITIGATION & REGULATORY ) JOB FUNCTION: Provide in-house legal services , with an emphasis… more
- TXNM Energy (Albuquerque, NM)
- Regulatory Attorney III or IV Location: Albuquerque, NM, United States Job ID: 6087702 Date Posted:Dec 11, 2025 **POSTING DEADLINE** This position is posted until ... law experience + Litigation experience + Transactional law experience + Regulatory compliance experience + Experience with environmental, social, and governance… more
- Equitable (Charlotte, NC)
- …Charlotte, NC location. Equitable is currently looking to hire a Paralegal within the Regulatory Affairs Practice Group which is a part of Equitable's Legal and ... Operations Team and enjoy working for a leading financial services company with an amazing and diverse culture! We...discipline + Experience with life insurance products and the regulatory regimes (eg, state insurance laws, federal securities… more
- Citigroup (Irving, TX)
- …laws that apply to Citi as a large US corporation with publicly issued securities . This role will provide legal advisory services in connection with maintaining ... Counsel 2 position is an attorney role inf Citi's Regulatory Requirements and Obligation Program that is a hybrid...Consumer Protection laws pertaining to Citi as a financial services provider so that Citi maintains an accurate Financial… more
- Thrivent Financial (Minneapolis, MN)
- Summary Journey Financial Consultants (JFC) is an independent financial services practice of Thrivent. We consider it a privilege to help people prosper through ... Compensation $24/hr based upon experience Position Qualifications + Previous customer service experience (1+ year) + Securities /insurance industry experience… more
- SMBC (New York, NY)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President… more
- Huntington National Bank (Columbus, OH)
- …trades + Manage daily margin activity and collateral exchange + Experience with regulatory trade reporting + Knowledge of securities regulations, compliance, and ... Description The Huntington Securities , Inc. (HSI) Trade Settlement Analyst is responsible...resolve trade discrepancies, manage risk, and maintain compliance with regulatory requirements. Duties & Responsibilities: + Monitor trade affirmations… more
- JPMorgan Chase (New York, NY)
- …+ Advise the Securitized Products businesses on all relevant legal and regulatory matters and relevant securities laws applicable to public and ... innovative solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed… more
- Wells Fargo (Miami, FL)
- …Wells Fargo is seeking a Lead Wealth Management Banker (SAFE) in the Professional Services team in the Legal Specialty Group Working at Wells Fargo | Jobs and ... in law + Experience with succession planning, tax-efficient strategies, and practice ownership transitions + Experience working with UHNW clients + Excellent… more
- Thrivent Financial (Montgomeryville, PA)
- …insurance, banking and generosity. Lantern Financial Group is an independent financial services practice of Thrivent in Montgomeryville and Boyertown, PA. We ... to providing exceptional client experience that meets highest of standards and regulatory requirements. + Business development: partner with practice in building… more
- The Hartford (Wayne, PA)
- …statements, supplements, proxy statements, periodic reports to shareholders, and other regulatory filings; + Drafting, reviewing, and negotiating service ... Familiarity with the rules and regulations adopted by Financial Industry Regulatory Authority, the National Securities Exchanges, Commodity Futures Trading… more
- Edward Jones (Stockton, CA)
- …bachelor's degree is strongly preferred or equivalent work-related experience within the securities /financial services industry + Financial services and/or ... As a financial advisor with Edward Jones, you'll develop and grow your own practice , supported by your branch team, a home-office team and other regional financial… more
- JPMorgan Chase (San Jose, CA)
- …their responsibilities to perform high-quality work and adapt to the changing regulatory environment. + Comprehend system logic used in conducting risk-based reviews ... communicate changes to team members. + Develop subject matter expertise in securities rules and regulations through knowledge acquisition, research, and training. +… more