- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- Bright Horizons (Newton, MA)
- …Analysis, Tax and Treasury to align messaging and ensure consistency + Ensure compliance with securities laws and regulatory requirements in collaboration with ... and externally + Knowledge/Familiarity with SEC disclosures, filing requirements and securities laws **Benefits:** Bright Horizons offers the following benefits for… more
- USAA (Plano, TX)
- …a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and ... maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements We offer...be **in the office 4 days per week.** This position will be based on the Plano, TX or… more
- USAA (Tampa, FL)
- …responsibilities of a securities principal: In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and ... Executes process improvements and leads organizational process changes. Maintains compliance with policies, procedures, and all applicable regulatory requirements.… more
- KeyBank (NY)
- …equivalent experience + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes regulatory requirements. Support the AML Enterprise Team… more
- KeyBank (NY)
- …be considered + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + Ability ... and line of business partnerships to identify and manage compliance risks with assigned regulatory topics. Support the organization...KeyCorp's return to office policy). COMPENSATION AND BENEFITS This position is eligible to earn a base salary in… more
- State of Montana (Helena, MT)
- The Montana State Auditor, Commissioner of Securities and Insurance (CSI) is seeking applicants for an *Attorney 2*in our Legal Bureau. *Why Work with Us?* The CSI ... more about the CSI, the division, benefits, and this position , please continue to read more and visit our...all Montanans by regulating two of the state's largest industries- securities and insurance. We strive to foster a thriving… more
- State of Montana (Helena, MT)
- …AI-generated content may be incorrect.] The Montana State Auditor, Commissioner of Securities and Insurance (CSI) is seeking applicants for an *Attorney 1*in our ... more about the CSI, the division, benefits, and this position , please continue to read more and visit our...all Montanans by regulating two of the state's largest industries- securities and insurance. We strive to foster a thriving… more
- Unity Technologies (San Francisco, CA)
- **San Francisco, CA, USA** **Senior Managing Counsel, Corporate and Securities ** Location San Francisco, CA, USA Department Legal Requisition ID JOBREQ-2514372 ... description** **The opportunity** Unity is looking for a Senior Counsel, Corporate and Securities to join its Legal team. In this role, you will be responsible… more
- Citigroup (Tampa, FL)
- …Sr Analyst_** The Sec & Derivatives Sr Analyst is an intermediate level position responsible for reviewing orders and transactions originating from trading desks and ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more