- Comerica (Dallas, TX)
- …+ Assists with matters involving general corporate law, corporate governance, and securities reporting/ compliance . + Manages legal work related to private ... placements and warrants. + Advises senior bank officers of the legal implications of proposed transactions, policies, courses of action and management decisions. + Analyzes complex legal issues involved in various transactions and other matters of significance… more
- JPMorgan Chase (Boston, MA)
- …external stakeholders including risk and control groups, audit, tax, compliance , implementation and investor relations **Required qualifications, capabilities, and ... skills:** (PGL(HU1) + Bachelor's Degree in Accounting, Finance or related field + 3+ years' experience in an accounting role + Knowledge of US Generally Accepted Accounting Principles for Investment Funds + Familiar with Private Equity & Hedge fund structures… more
- JPMorgan Chase (Jersey City, NJ)
- …qualifications, capabilities and skills** + 5+ years experience working in securities regulation, regulatory agencies, compliance , law, law enforcement, or ... other senior level bank employees in Legal, Human Resources, Employee Relations, Compliance , and/or Audit throughout the course of any investigation. This position… more
- Lincoln Financial (Dover, NH)
- …accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts ... at a Glance** The Role at a Glance The Compliance Consultant, Funds Management role is responsible for supporting...LFI 's Code of Ethics programs including analysis of securities transactions and maintenance of required statements for those… more
- Equitable (Charlotte, NC)
- …and follow the organization-specific policies and guidelines, affecting business practices. ** Securities Laws and Regulations (SLR) Compliance :** Knowledge of ... Compliance Officer ( 25000075 ) **Primary Location** :...of inclusivity, flexibility, and connection. Come join Equitable Distributors Compliance Team and enjoy working for a leading financial… more
- Raymond James Financial, Inc. (Memphis, TN)
- …procedures, and methods. + Investment concepts, practices and procedures used in the securities industry. + Suitability and other compliance issues involved with ... high level of autonomy, uses advanced knowledge and skills in securities industry regulations obtained through education, experience, specialized training and/or… more
- Robert Half Legal (San Jose, CA)
- …and organize closing binders for completed corporate transactions. * Assist with securities filings and ensure compliance with regulatory requirements. * Support ... you'll be involved with corporate transactions, contracts, business formation, and securities matters. The role offers a hybrid schedule, requiring on-site work… more
- Bright Horizons (Newton, MA)
- …Analysis, Tax and Treasury to align messaging and ensure consistency + Ensure compliance with securities laws and regulatory requirements in collaboration with ... and externally + Knowledge/Familiarity with SEC disclosures, filing requirements and securities laws **Benefits:** Bright Horizons offers the following benefits for… more
- Holcim US (Chicago, IL)
- …objectives, industry best practices, and regulatory requirements + Ensure compliance with Securities Exchange Commission (SEC) regulations, Sarbanes-Oxley ... is part of the North America Internal Audit team, to ensure compliance with Sarbanes-Oxley (SOX) requirements, identify and mitigate risks, strengthen internal… more
- US Foods (Rosemont, IL)
- …or executive officers, etc. + Support transactions and financial restructurings related securities law and corporate governance compliance including setting up ... Our Community of Food People! The Corporate Paralegal will provide Governance and Securities needs and is an important member of the Corporate Legal team helping… more