- KeyBank (Brooklyn, OH)
- …of wealth management related (eg - trust/fiduciary, asset management, private banking, securities , etc.) compliance , risk management, and/or internal or external ... wealth management products and services (eg - trust, private banking, securities /investment management) as well as trust/fiduciary related compliance ,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance . + Rules and regulations of the ... **Essential Duties and Responsibilities** + Manages Capital Markets & Advisory ("CMA") Compliance 's core compliance program to ensure compliance processes… more
- Altium (San Diego County, CA)
- …preferred + International Compliance Association (ICA) certification required; Certified Securities Compliance Professional (CSCP) is a strong plus + ... We are looking for a Manager, Cloud Security and Compliance who will oversee the adherence of Cloud Business...in the life of our Manager, Cloud Security and Compliance :** + You'll establish compliance standards and… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President to join the ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $180,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Aegon Asset Management (Denver, CO)
- …ability to assess/engage various technologies, including AI Preferred Qualifications + Securities and/or compliance designations + Experience supporting retail ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, the funds for… more
- Equitable (Charlotte, NC)
- …experience + Experience in dealing with sophisticated investment advisory and securities brokerage compliance issues and substantive product knowledge in ... Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary Location** :...advisers, as well as knowledge of federal and state securities laws and regulations more broadly Preferred Qualifications: +… more
- TD Bank (Mount Laurel, NJ)
- …for reporting with clear messaging on data insights from banking and securities regulation, key compliance metrics, and regulatory remediation.** + **Engage ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- The Hershey Company (Hershey, PA)
- …to join our Legal Department with a primary focus on corporate securities compliance , corporate governance, and public company reporting obligations. The ... finance, and corporate secretarial teams and play a critical role in ensuring compliance with applicable federal and state securities laws, stock exchange… more
- Aegon Asset Management (Cedar Rapids, IA)
- …+ Series 7 & 24 or Series 6 & 26, as applicable + Regulatory, securities , or advertising compliance experience Working Conditions + This is a hybrid ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...education and experience + A basic knowledge of the securities laws, regulations, and rules + Written and verbal… more