- Xerox (Raleigh, NC)
- Senior Corporate Counsel - Governance and Securities **General Information** Press space or enter keys to toggle section visibility Country United States Department ... candidate will be responsible for the full range of legal advice and services. They may specialize in one...supporting the Corporate Secretary function, including with respect to securities law filings, corporate governance and Board and Committee… more
- Guardian Life (Raleigh, NC)
- …a 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, ... you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue... Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will conduct… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- TD Bank (Charlotte, NC)
- …clients of TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities (TD ... who are part of the client-facing Distribution teams are both securities -registered and insurance-licensed. Additionally, the Trust Advisors support both personal… more
- CRC Insurance Services, Inc. (Charlotte, NC)
- …Counsel will be responsible for a wide variety of in-house corporate legal matters, including conducting corporate secretary and board work, preparing corporate ... and governance, M&A and complex corporate transactions, and ideally securities law. **KEY RESPONSIBILITIES** Following is a summary of...activities may change from time to time. + Provide legal advice on a wide range of issues, including… more
- Wells Fargo (Charlotte, NC)
- …for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, ... organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal and the Line of Business, as needed, in addressing concerns and… more
- TD Bank (Charlotte, NC)
- …comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates + Provides advanced analysis ... an integrated wealth business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance regulatory requirements and… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Bank of America (Charlotte, NC)
- …in the production, review and analysis of the derivatives and securities transactions captured in the FRY9C and FFIEC031 Consolidated Financial Statements ... reviews. This job is responsible for reviewing regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal … more