- Medtronic (Los Angeles, CA)
- …world. **A Day in the Life** This newly created Senior Counsel - Securities and Corporate Governance role supports the Diabetes MiniMed business as it prepares ... opportunity for a legal professional with deep expertise in securities law to contribute to the strategic direction of...members of the legal team and business stakeholders on securities , corporate governance, and entity management. This role will… more
- City National Bank (Los Angeles, CA)
- *INVST OPERATIONS SECURITIES SPECIALIST* WHAT IS THE OPPORTUNITY? The Securities Specialist will support responsibilities assigned to the Trust Operations team. ... TO SUCCEED? *Required Qualifications** * Minimum 4 years of securities experience, preferably in trust securities . *...years of securities experience, preferably in trust securities . * Minimum 4 years of experience with procedures,… more
- TD Bank (San Francisco, CA)
- …We are seeking a VP Compliance professional to join our TD Securities US Control Room located in San Francisco, California. **Responsibilities Include:** + ... Maintain the TD Securities Grey and Restricted lists. + Chaperone interactions and...standards. + Understanding of US Research Safe Harbors (US securities law, Rules 137, 138, and 139 of the… more
- VF Corporation (Costa Mesa, CA)
- …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 ... governance topics + Manage the legal compliance framework for securities policies and mandatory environmental and sustainability disclosures, including… more
- Guardian Life (Sacramento, CA)
- …collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will conduct branch office ... inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch office… more
- City National Bank (Los Angeles, CA)
- …SERVICES OFFICER* WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers supporting the ... Financial Advisors and licensed representatives of City National Securities . Provide training for Financial Advisors, Investment Relationship Officers, Assistant… more
- Thrivent Financial (Lakewood, CA)
- …for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and ... or information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (eg conducting due… more
- US Bank (Glendora, CA)
- …preparation and maintenance of registration statements filed with the US Securities and Exchange Commission (SEC) and related filings. Registration statements ... of a fund to investors, as required by federal securities laws, including primarily the Investment Company Act of...including primarily the Investment Company Act of 1940 and Securities Act of 1933, and regulated by the SEC.… more
- The Brattle Group (San Francisco, CA)
- …development of robust and innovative solutions for our clients. **TYPICAL CASES IN SECURITIES (CORPORATE FINANCE)** In the Securities practice, you will work on ... models to assess value of financial assets, intangible property and securities . + **Accounting:** Assessing a company's internal controls to identify manipulation… more
- Raymond James Financial, Inc. (Dana Point, CA)
- …credit rating preparation, investor presentations, RFPs, and the drafting of securities offering documents. Expect to grow your analytical skills while contributing ... * Fundamental investment concepts, practices and procedures used in the securities industry. * Financial markets and products. * Quantitative financial analysis… more