- 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
- Kestra Medical Technologies, Inc (Kirkland, WA)
- … is accountable for SEC filings and disclosures, corporate and board governance, compliance and disclosure aspects of securities offerings and insider trading. ... in securities law or corporate law, particularly in SEC compliance , board and corporate governance, capital markets or regulatory enforcement. + In-depth… 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 ... details for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements to existing… 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, ... **Job Description Summary** This position supports the day-to-day operations and functions of...preparing for the annual meeting of shareholders + Providing securities law advice and compliance guidance for… more
- Equitable (Charlotte, NC)
- …timely, and contextual revisions and feedback for the purpose of ensuring compliance with securities and insurance industry regulations and company policies ... Advertising Compliance Reviewer ( 250000DU ) **Primary Location** :...offer a flexible hybrid office/remote work environment, and this position will be based in our Charlotte, NC office.… more
- NetApp (Morrisville, 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
- 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
- Robert Half Finance & Accounting (Houston, TX)
- …We're seeking a Senior Compliance Associate with a robust background in securities compliance to join our wealth management client. The ideal candidate will ... A minimum of 5 years of experience in a compliance role at a securities broker-dealer or...Robert Half works to put you in the best position to succeed. We provide access to top jobs,… more
- Robert Half Legal (Cincinnati, OH)
- …This role requires expertise in corporate law and investment-related legal matters, including securities law and private fund formation. The position offers an ... acquisitions, private fund formation, and investment-related issues. * Ensure compliance with securities laws and oversee regulatory...Robert Half works to put you in the best position to succeed. We provide access to top jobs,… more
- KeyBank (Amherst, NY)
- …of wealth management related (eg - trust/fiduciary, asset management, private banking, securities , etc.) compliance , risk management, and/or internal or external ... wealth management products and services (eg - trust, private banking, securities /investment management) as well as trust/fiduciary related compliance ,… more