- APPLIED MATERIALS (Santa Clara, CA)
- …Conduct and coordinate due diligence investigations, including coordinating with Legal & Compliance Organization (LCO) groups and with IP counsel Prepare legal and ... integration efforts Experience in or exposure to capital markets, corporate securities and regulatory reporting, and strategic investments Experience in or exposure… more
- BofA Securities, Inc. (Jersey City, NJ)
- …the information that follows below. has an oppty for a Director; EAC Compliance & Operational Risk Manager to review Investment Banking ("IB") transactions for ... & reference the job title of the role & requisition number. No phone calls. EOE. xhqgsiq JobiqoTJN. Keywords: Compliance Director, Location: Jersey City, NJ - 07311 more
- TD Bank (New York, NY)
- …will support the continued integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework. Focus will be ... compliance /business objectives **Position Requirements** + 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading… 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, ... proxy statement and preparing for the annual meeting of shareholders + Providing securities law advice and compliance guidance for earnings releases, investor… more
- HUB International (Chicago, IL)
- …future securities offerings and advise on a wide range of other securities -related matters, including regulatory compliance , SEC and SOX compliance , ... the US. + Reviews any press releases and other communications to ensure compliance with securities regulations. **Requirements:** + Juris Doctorate (JD) degree… more
- Bristol Myers Squibb (Princeton, NJ)
- …on appropriate method and timing of public disclosures, ensuring legal review and compliance with all statements made, including securities and regulatory law ... careers.bms.com/working-with-us . **Position Summary** The Senior Corporate Counsel, Disclosure & Securities Law will provide legal counsel on securities and… more
- Robert Half Legal (Seattle, WA)
- …including term sheets, stock purchase agreements, and voting agreements. * Ensure compliance with securities laws, including exemptions under the Securities ... compliance for equity crowdfunding, Regulation A+, and other securities offerings. * Manage mergers, acquisitions, and restructuring transactions, including… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for an Associate candidate (Senior...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Guardian Life (Columbus, OH)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... **Preferred Qualifications:** We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance ...(i) public and private offerings of equity and debt securities . + Assist in the development and build out… more
