• Securities Counsel

    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
    Kestra Medical Technologies, Inc (08/03/25)
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  • Director, Compliance - Testing Team Lead,…

    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
    TD Bank (08/22/25)
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  • Advertising Compliance Reviewer

    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
    Equitable (08/08/25)
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  • Senior Corporate Counsel

    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
    NetApp (09/03/25)
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  • Director, Compliance - Branch Inspections…

    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
    TD Bank (09/06/25)
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  • Senior Compliance Associate

    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 Finance & Accounting (09/13/25)
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  • Compliance Manager

    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
    Manulife (08/28/25)
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  • In House Counsel

    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
    Robert Half Legal (09/09/25)
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  • Compliance Officer - Wealth Management…

    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
    KeyBank (09/14/25)
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  • Deputy Compliance Leader - Financial…

    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
    GE Vernova (09/06/25)
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