- 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
- 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
- Manulife (Boston, MA)
- …the Chief Compliance Officer ("CCO's Office") in its mission to affect compliance with federal securities laws applicable to John Hancock Investment Company ... The Compliance Manager is responsible for the execution and/or...Funds Complex, and their Advisers, sub-advisers, and service providers. ** Position Responsibilities:** + Manage standards/processes/procedures/programs that enable John Hancock… 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
- GE Vernova (New York, NY)
- …and management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a ... of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). + Demonstrated understanding of the UK Financial… more