- 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
- TD Bank (New York, NY)
- …level to the firm's procedures + Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that transactions ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $275,000 - $275,000 USD TD is...more specific details for this role. **Job Description:** TD Securities is seeking a highly motivated Asset Backed Securitization… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance . + Rules and regulations of the ... Duties and Responsibilities** As a core member of the Compliance team, you will serve as a subject matter...you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while… more