- Commonwealth of Pennsylvania (PA)
- Non-Depository and Securities Compliance Examiner 1 Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/4937888) Apply Non-Depository and ... Securities Compliance Examiner 1 Salary $50,836.00 - $77,321.00 Annually Location *Home Headquartered, PA Job Type Civil Service Permanent Full-Time Job Number… more
- Citigroup (Tampa, FL)
- …a senior compliance and operational risk manager for Global Wealth Securities Backed Lending (SBL) Independent Compliance Risk Management (ICRM) and Global ... for Global Wealth Deposits and Lending businesses. **Responsibilities:** + Provide compliance product coverage to Global Wealth SBL business. Provide compliance… more
- Evolv Technology (Waltham, MA)
- …to the General Counsel. In this critical role, you'll lead the Company's securities compliance and corporate governance work, ensuring we uphold the highest ... you will: + Familiarize yourself with Evolv's corporate governance framework and securities compliance processes. + Build strong relationships with the legal,… more
- TD Bank (New York, NY)
- …+ 5-7 Years of related experience **Preferred Qualifications:** + Seven or more years securities compliance or related securities experience required. + JD ... you more specific details for this role. **Job Description:** The VP Compliance , TD Securities oversees/leads a team(s) of specialists/professionals providing… more
- State of Maine, Bureau of Human Resources (Gardiner, ME)
- Senior Compliance Examiner (Senior Securities Examiner) Gardiner , Maine , United States | Professional & Technical | Full-time Apply by: May 30, 2025 Apply with ... Protect Maine investors from fraudulent, deceptive and unethical practices in the securities and investment industry and promote healthy capital markets with the… more
- TD Bank (New York, NY)
- …and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- Shoals Technology Group (Portland, TN)
- …work closely with our executive leadership and cross-functional teams to ensure compliance with securities laws and regulations Responsibilities: Provide legal ... guidance and support on securities law compliance , including reporting and disclosure obligations under federal securities laws. Collaborate with our finance… more
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
- State of Montana (Helena, MT)
- …Securities Association (NASAA), and collaboration with other state regulators The Securities Compliance Technician serves this mission by performing ... and Insurance (CSI) has an exciting opportunity available for a part-time* Compliance Technician*in the Securities Division!**To learn more about the Agency,… more