- SMBC (Jersey City, NJ)
- …designation and tracking. The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer, SMBC Americas Division Head of ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Metro Nashville Government (Nashville, TN)
- …portfolio. + Constructing and designing portfolios. + Manages investment contracts and compliance . + Analyzing securities . + Hedging portfolio, as necessary. + ... Department. Oversees trading and invests in fixed income, equity or alternatives securities as assigned by the Metropolitan Treasurer or designee. Seeking an… more
- Equitable (Philadelphia, PA)
- …ability to apply knowledge of risk management appropriately to diverse situations. ** Securities Laws and Regulations (SLR) Compliance :** Knowledge of ... Sr. Branch Compliance Manager ( 250000LL ) **Primary Location** :...unlock your potential? This role is responsible for providing compliance support to Equitable' s branch locations both regionally… more
- DR Horton, Inc. (Arlington, TX)
- …and strategic partnerships * Advise executive team on governance, fiduciary obligations, securities matters, and compliance with applicable laws and regulations ... oversees the company's legal operations, leads the enterprise risk and compliance framework, and sets the direction for litigation, corporate governance, contracts,… more
- JPMorgan Chase (Jersey City, NJ)
- …Lending, you will be responsible for allocating and delivering mortgaged back securities (MBS), ensuring compliance with investor and regulatory requirements and ... reporting with compelling key messages. + Ability to work with audit, compliance and regulatory constituencies to manage work in accordance with established… more
- M&T Bank (Wilmington, DE)
- …for regulatory purposes. + Policy Updates: Stay abreast of changes to federal securities laws and SEC regulations; update compliance policies and procedures as ... **Overview:** The Chief Compliance Officer (CCO) of the Wilmington Funds will...Investment Company Act of 1940, as promulgated by the Securities and Exchange Commission (SEC). The CCO will be… more
- Bright Horizons (Newton, MA)
- …Communication and Legal to align messaging and ensure consistency. + Ensure compliance with securities laws and regulatory requirements in collaboration with ... internally and externally. + Knowledge/Familiarity with SEC disclosures, filing requirements and securities laws. **At this time, Bright Horizons will not sponsor an… more
- ServiceNow, Inc. (Denver, CO)
- …and M&A Legal. **Responsibilities** + Advise on public company and corporate securities law matters and related compliance , including SEC reporting, NYSE ... preferred + Proven management skills + Broad experience in US corporate and securities law matters, including SEC reporting, NYSE compliance and state law… more
- GE Vernova (New York, NY)
- …and management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a ... **Job Description Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory ...compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). + Demonstrated understanding of… more
- PNC (Louisville, KY)
- …complex legal and financial requirements. Ideal candidates bring some experience in securities law, governance requirements and corporate compliance , along with ... have an opportunity to contribute to the company's success. As a(n) Compliance Program Specialist Senior within PNC's Regulatory Compliance Governance… more