- Guardian Life (Raleigh, NC)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...of base pay for the primary location of the position . The salary for this position ultimately… more
- VF Corporation (Greensboro, NC)
- …around environmental, sustainability and governance topics + Manage the legal compliance framework for securities policies and mandatory environmental and ... or www.vfc.com . **What will you do?** A day in the life of Senior Counsel, Securities & Cap Markets at VF looks a little like this. As Senior Corporate Counsel at… more
- Lumen (Raleigh, NC)
- …assist with Annual Shareholder Meeting. + Maintain policies and procedures relating to securities law compliance and disclosure matters. + Advise and assist ... function to play in supporting the SVP in managing Lumen's Governance and Securities . The ideal candidate will be responsible for ensuring regulatory compliance … more
- NetApp (NC)
- …will report to our Director, Corporate Legal. **Job Responsibilities:** + Handle securities law compliance , disclosure, and reporting under federal securities ... and investment matters + Maintain programs and policies to ensure compliance with securities -related regulatory requirements, NASDAQ listing standards,… more
- Lincoln Financial (Charlotte, NC)
- …accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts ... with internal/external stakeholders to ensure transparency and consistency of compliance actions. ADDITIONAL POSITION RESPONSIBILITIES + Carries out… more
- Equitable (Charlotte, NC)
- …and follow the organization-specific policies and guidelines, affecting business practices. ** Securities Laws and Regulations (SLR) Compliance :** Knowledge of ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...apply today!** The total targeted compensation range for this position is $260,000-$300,000. Total compensation varies based on skills,… more
- Truist (Wilson, NC)
- …the following job description:** *Office centric role 4 days per week* This position performs assigned duties within Securities Operations unit for the bank ... **The position is described below. If you want to...Participate in various processing functions for Wealth accounts, including securities and investment related transactions. 2. Lead in the… more
- Truist (Wilson, NC)
- …office position located at 2713 Forest Hills Road, Wilson, NC. This position performs assigned duties within Securities Operations unit for the Wealth ... **The position is described below. If you want to...Participate in various processing functions for Wealth accounts, including securities and investment related transactions. 2. Assist in the… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate as part of the Tax Cost team within Wealth and Investment Management Operations. The ... support tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies or procedures… more
- Wells Fargo (Charlotte, NC)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... **About this role:** Wells Fargo is seeking a **Lead Securities Quantitative Analytics Specialist - Vice President** to join the **Structured Products Group** .… more
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