- HSBC (New York, NY)
- Assistant Vice President (AVP) in Markets & Securities Services (MSS) Compliance Brand: HSBC Area of Interest: Risk and Compliance Location: New York, NY, ... all share. As an Assistant Vice President (AVP) in Markets & Securities Services (MSS) Compliance you will: + Interact with and provide real-time, compliance … more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer ... Surveillance Compliance professionals engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- Dollar Tree (Chesapeake, VA)
- …with the CLO, executive leadership, and the Board of Directors. **Key Responsibilities** ** Securities Law Compliance & Finance Support** + Advise on US federal ... securities law compliance and disclosure matters, including the Securities Act of 1933 and the Exchange Act of 1934. + Oversee related policies and… more
- Medtronic (Los Angeles, CA)
- …serving as a key paralegal in matters relating to corporate governance, securities law compliance , entity management, public company reporting, Board and ... **A Day in the Life** This newly created Senior Principal Paralegal - Securities and Corporate Governance role supports the Diabetes MiniMed business as it prepares… more
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …the Corporate Secretary's office in: + Developing and providing advice regarding securities law disclosure/ compliance , including Annual Reports on Form 10-K, ... proxy statement and preparing for the annual meeting of shareholders + Providing securities law advice and compliance guidance for earnings releases, investor… more
- HUB International (Chicago, IL)
- …future securities offerings and advise on a wide range of other securities -related matters, including regulatory compliance , SEC and SOX compliance , ... the US. + Reviews any press releases and other communications to ensure compliance with securities regulations. **Requirements:** + Juris Doctorate (JD) degree… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for an Associate-level candidate to...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Robert Half Legal (Seattle, WA)
- …including term sheets, stock purchase agreements, and voting agreements. * Ensure compliance with securities laws, including exemptions under the Securities ... compliance for equity crowdfunding, Regulation A+, and other securities offerings. * Manage mergers, acquisitions, and restructuring transactions, including… more
- Guardian Life (Columbus, OH)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- Copeland (St. Louis, MO)
- …and senior finance leadership team, playing a critical role in ensuring compliance with applicable securities laws, stock exchange requirements, and internal ... listing requirements. + Maintain and update insider trading records and support compliance with the company's securities trading policy, including assisting with… 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:** $275,000 - $275,000 USD TD is...more specific details for this role. **Job Description:** TD Securities is seeking a highly motivated Asset Backed Securitization… more
- S&P Global (Charlottesville, VA)
- …Committee's financial reporting and oversight responsibilities **Responsibilities:** **Public Company Securities Disclosure and Governance** : + Ensure compliance ... (for internal use):** 15 **The** **Role:** Associate General Counsel, Corporate & Securities - Mobility **The Team:** Join a best-in-class global Legal, … more
- Amazon (Seattle, WA)
- …process compliance including calendaring, filing, and task tracking for securities reporting functions - Support Section 16 reporting and day-to-day insider ... in the life Your primary focus is ensuring accuracy and compliance in corporate securities and governance matters and processes. You'll manage filing calendars,… 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 ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $300,000 - $300,000 USD TD is...the Electronic Trading desk within Global Markets at TD Securities in New York. The Director Sales and Trading… 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 ... private placements, syndicate matters, and Reg M + Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with… 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 ... **Essential Duties and Responsibilities** + Manages Capital Markets & Advisory ("CMA") Compliance 's core compliance program to ensure compliance processes… more
- Altium (San Diego County, CA)
- …preferred + International Compliance Association (ICA) certification required; Certified Securities Compliance Professional (CSCP) is a strong plus + ... We are looking for a Manager, Cloud Security and Compliance who will oversee the adherence of Cloud Business...in the life of our Manager, Cloud Security and Compliance :** + You'll establish compliance standards and… more
- Aegon Asset Management (Denver, CO)
- …ability to assess/engage various technologies, including AI Preferred Qualifications + Securities and/or compliance designations + Experience supporting retail ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, the funds for… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Athene (West Des Moines, IA)
- …+ Support filing strategies to drive timely approvals and competitive speed-to-market. Regulatory & Securities Compliance + Advise on compliance with the ... to annuity and registered financial products. + Experience with regulatory compliance under the Securities Act of 1933 and related SEC regulations preferred. +… more