- TD Bank (Charlotte, NC)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $175,000 - $225,000 USD TD is committed to providing fair ... & Agreement Structuring** - Lead deal negotiations, balancing commercial, operational, and compliance considerations. - Partner with Legal, Risk, and Compliance … more
- TD Bank (New York, NY)
- …New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** - TD is committed to providing fair and equitable compensation ... escalate issues where appropriate + Ensure business operations are in compliance with applicable internal and external requirements (eg financial controls,… more
- EchoStar (Englewood, CO)
- …across the company. **Job Duties and Responsibilities** **Key Responsibilities:** + Securities : Handle Section 16 reporting requirements for company insiders and ... and proxy statements with the SEC; assist with insider trading compliance + Corporate Governance: Manage corporate governance matters, including maintaining… more
- JPMorgan Chase (New York, NY)
- As a Client Service Manager (CSM) in Securities Services, you will join the client service team and have an assigned book of clients. You will have ultimate ... with JP Morgan. You will also manage billing accuracy and ensure compliance with company policies. **Job responsibilities:** + Lead in-person meetings with your… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $225,000 - $225,000 USD TD is committed to providing fair ... firm's procedures + Understands and complies with TD Policies, regulatory and compliance requirements + Ensures that transactions are fully documented and processed… more
- Hyster-Yale Materials Handling (Cleveland, OH)
- …a corporate legal department or law firm, supporting corporate transactions and/or securities law compliance . Skills, Experience & Abilities + Demonstrated ... **Job Title** Corporate Paralegal **Job Category** Legal and Compliance **Job Description** **_What starts with_** **_YOU,_** **_moves the world!_** Hyster-Yale… more
- Wells Fargo (Houston, TX)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- NCR VOYIX (Atlanta, GA)
- …the world to your local favorite around the corner. The Senior Counsel, Securities and Corporate Governance provides legal support for SEC and NYSE compliance ... from time to time.Key Responsibilities: + SEC filings and compliance , including Forms 10-K, 10-Q, 8-K, 3 and 4,...annual responsibility calendars and charter adherence + Regulation FD compliance + NYSE filings and compliance +… more
- Banco Popular Puerto Rico (San Juan, PR)
- …Juan, PR Company: Popular Workplace Type: On-site Financial Consultant | Popular Securities Job Type Full Time Exempt General Description The Financial Consultant is ... personalized investment strategies. The Financial Consultant must also ensure compliance with industry regulations and internal policies while maintaining strong… more
- TD Bank (New York, NY)
- …and Business Leaders. This role will support a subset of the TD Securities portfolio. The Specialized HR Associate provides specialized analytical support and act as ... that vary in scope and complexity including daily operations of work, compliance and audits, quality assurance and vendor management + Leads discussions with… more