- Robert Half Legal (Cincinnati, OH)
- …mergers and acquisitions, private fund formation, and investment-related issues. * Ensure compliance with securities laws and oversee regulatory filings with ... role requires expertise in corporate law and investment-related legal matters, including securities law and private fund formation. The position offers an exciting… more
- Chemours (Wilmington, DE)
- …position is an attorney within the Office of the Corporate Secretary ensuring compliance with securities laws, related corporate governance issues, advising on ... DE** and report directly to the **Chief Corporate Governance and Securities Counsel, Assistant Corporate Secretary.** This position will be responsible for… more
- 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
- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... risk and regulatory knowledge with an emphasis on Non-Financial Risks. ( Compliance , Operational, Reputational, Strategic Risks) + Knowledgeable of Credit, Market and… more
- JPMorgan Chase (Boston, MA)
- …external stakeholders including risk and control groups, audit, tax, compliance , implementation and investor relations **Required qualifications, capabilities, and ... skills:** + 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
- Raymond James Financial, Inc. (Denver, CO)
- …management and exam response processes. + Concepts, practices and procedures of securities industry and/or banking compliance reviews. + Fundamental investment ... inform governance activities. + Collaborate with stakeholders across Fraud, Analytics, Compliance , Legal, Risk, Operations, Technology, and business units to ensure… 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 (Concord, 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 ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...potential? Equitable is currently looking to hire a Chief Compliance Officer within Equitable Distributors Compliance , which… more
- Raymond James Financial, Inc. (Denver, CO)
- …duties as assigned. **Knowledge of** + Concepts, practices and procedures of securities industry and/or banking compliance reviews. + Fraud typologies, detection ... risks, engaging with internal and external stakeholders, and ensuring compliance with applicable laws and regulations. **Essential Duties and Responsibilities**… more