- Huron Consulting Group (Van Buren, AR)
- …the General Counsel to advise the company on corporate governance matters, ensure compliance with securities laws and stock exchange regulations, and support the ... for transaction advisory engagements. **Key Responsibilities:** + Advise on securities law, NASDAQ listing standards and corporate governance matters, staying… more
- Robert Half Finance & Accounting (Boston, MA)
- …meet the following qualifications: 7-10 years of experience in financial services compliance , particularly with equity securities at an asset management firm. ... Asset Management firm in Boston looking to add a Compliance Manager to the team. As a Compliance...Expertise in securities regulations ( Securities Acts of 1933 and 1934; Investment Advisers/Company Act… more
- Warner Bros. Discovery (Atlanta, GA)
- …functions for the company. This role will oversee all corporate governance, securities compliance , public company reporting, and board operations, while also ... investor relations, corporate communications, CSR, and legal. Your Role Accountabilities ** Securities Compliance & SEC Reporting** + Ensure compliance… more
- 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
- Guardian Life (New York, NY)
- …want to be part of a collaborative Compliance Legal Team? The Compliance Analyst, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), ... 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
- 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 (Tampa, FL)
- …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
- Aegon Asset Management (Cedar Rapids, IA)
- …skills. + Proficiency using MS Office tools. Preferred Qualifications: + Regulatory, securities or advertising compliance experience. + Areas of experience ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...Location: + Cedar Rapids, IA The Salary for this position generally ranges between $50,000 - $55,000 annually .… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist in the Trust Services team within Wealth & Investment Management within our Security ... The SCAT team reviews physical documents against the Lost and Stolen Securities Program (LSSP), verifying all legal documentation has been received to process… more
- Medtronic (Los Angeles, CA)
- …world. **A Day in the Life** This newly created Senior Counsel - Securities and Corporate Governance role supports the Diabetes MiniMed business as it prepares ... opportunity for a legal professional with deep expertise in securities law to contribute to the strategic direction of...direction of a business undergoing a transformative period. This position will report to the Deputy General Counsel, serving… more