- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge and skills obtained through experience, specialized training and/or certification in securities compliance to ensure compliance with all ... and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry compliance reviews. + Rules and regulations of the Securities … more
- Aegon Asset Management (Cedar Rapids, IA)
- …business, accounting, or other relevant field + 8+ years of regulatory or securities compliance experience, preferably in a retail broker-dealer and investment ... compliance policies, procedures, and controls to ensure compliance with applicable SEC, FINRA, and state securities... compliance with applicable SEC, FINRA, and state securities rules and regulations. + Creating training for home… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of:** * Concepts, practices, and procedures of securities industry compliance reviews. * Rules and regulations of the ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- PSEG (Newark, NJ)
- …the Proxy Statement, as well as the Company's quarterly earnings calls. * Oversees compliance with federal securities law on all disclosure and other matters for ... Corporate and Commercial is responsible for leading the Corporate, Securities and Commercial functions of PSEG's Legal Department. This...must complete a 10 CFR Part 810 Export Control Compliance Nationality Request Form, a copy of which will… more
- VF Corporation (Denver, CO)
- …around environmental, sustainability and governance topics + Manage the legal compliance framework for securities policies and mandatory environmental and ... or www.vfc.com . **What will you do?** A day in the life of Senior Counsel, Securities & Cap Markets at VF looks a little like this. As Senior Corporate Counsel at… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …skills obtained through education, experience, specialized training, and/or certification in securities industry compliance to design, implement and supervise a ... + Financial services and products. + Concepts, practices, and procedures of securities industry compliance . + Investment concepts, practices and procedures used… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities ' Regulatory Compliance Management Framework (RCM) is implementing ... compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will manage ongoing Compliance risk coverage planning that… more
- Raymond James Financial, Inc. (NY)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage ... **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. +...and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the … more
- Aegon Asset Management (Cedar Rapids, IA)
- …field, or equivalent education and experience. + Five years of insurance and/or securities regulatory compliance experience. + A general knowledge of insurance ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...and securities laws, regulations, rules, etc. + FINRA licensing (Series… more