- TD Bank (New York, NY)
- …and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …/business objectives ** Position Requirements** + 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading ... integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance... Securities (USA) LLC and into the overall Compliance Framework. Focus will be on providing real-time … more
- Guardian Life (Nashville, TN)
- …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
- 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 , ... Reviews any press releases and other communications to ensure compliance with securities regulations. **Requirements:** + Juris...and Washington states: The expected salary range for this position is $190,000 to $250,000_ _and will be impacted… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $185,000 - $225,000 USD TD is committed to providing fair ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York...that typically has enterprise wide impact or accountability. + Position deals with senior/executive management. + Key contact for… more
- Brink's (Coppell, TX)
- …team. This role will be responsible for providing legal support on securities law compliance , corporate governance, and public company reporting obligations. ... requirements. Key Responsibilities: Securities and Public Company Reporting + Advise on securities law compliance , including the Securities Act of 1933,… more
- Insight Global (Overland Park, KS)
- … experience at a law firm and/or in-house experience in a corporate or securities compliance function at a public company * Must have experience with ... position oversees corporate governance policies and practices, ensuring compliance with SEC regulations, listing requirements, and evolving governance standards.… more
- TD Bank (New York, NY)
- …Bachelor's degree with progressive work experience + 5-7 Years of related experience (in Compliance ) **Who We Are** TD Securities offers a wide range of capital ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- Huntington National Bank (Columbus, OH)
- …limited to: + Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program ... at like size or larger organization. + 10+ years of progressively responsible compliance / securities industry experience required. + Series 7 and 24 with the… more