- Commonwealth of Pennsylvania (PA)
- Non-Depository and Securities Compliance Examiner 1 Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/5059029) Apply Non-Depository and ... Securities Compliance Examiner 1 Salary $51,971.00 - $79,062.00 Annually Location *Home Headquartered, PA Job Type Civil Service Permanent Full-Time Job Number… more
- Insight Global (Overland Park, KS)
- … experience at a law firm and/or in-house experience in a corporate or securities compliance function at a public company * Must have experience with ... and evolving governance standards. You will lead the company's securities law compliance , including 10-K, 10-Q, 8-K, proxy statements, Section 16 filings,… 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
- 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
- Eaton Corporation (Beachwood, OH)
- …releases, investor presentations, marketing materials, and the Company's website. * Advise on securities law, compliance with SEC and NYSE rules and regulations, ... Eaton's legal organization is hiring a Counsel, Securities and Governance in Beachwood, Ohio at the US Headquarters. **What you'll do:** The Counsel, Securities … more
- Brink's (Coppell, TX)
- …team. This role will be responsible for providing legal support on securities law compliance , corporate governance, and public company reporting obligations. ... Responsibilities: Securities and Public Company Reporting + Advise on securities law compliance , including the Securities Act of 1933, Exchange Act of… more
- Guardian Life (Nashville, TN)
- …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:** $185,000 - $225,000 USD TD is committed to providing fair ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York...such as Title 12. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more
- Lincoln Financial (Radnor, PA)
- …* Monitor, track, and advise on potential impacts of new and proposed corporate and securities laws to ensure continued compliance * Stay up to date on ... perform legal work on a broad range of US securities and corporate law matters, with an emphasis on...appropriate ADDITIONAL POSITION RESPONSIBILITIES * Carries out duties in compliance with all state and federal regulations and guidelines.… more
- Robert Half Finance & Accounting (Houston, TX)
- …We're seeking a Senior Compliance Associate with a robust background in securities compliance to join our wealth management client. The ideal candidate will ... + Experience: A minimum of 5 years of experience in a compliance role at a securities broker-dealer or investment adviser. COST TO ENTER THE GAME + Bachelor's… more