- Equitable Advisors (Milwaukee, WI)
- …ability to apply knowledge of risk management appropriately to diverse situations. Securities Laws and Regulations (SLR) Compliance : Knowledge of securities ... that will help unlock your potential? Key Job Responsibilities Provide Branch compliance supervision, including but not limited to: Responsible for ensuring sales… more
- Ascension Global Staffing & Executive Search (New York, NY)
- …& Executive Search has an exciting opportunity for an associate to join the Securities & Capital Markets Group in our client's New York office. Their cohesive and ... working for an AM Law 100 law firm in the areas of corporate, securities , capital markets and M&A, with strong transactional skills; You have significant experience… more
- Direct Counsel (Palo Alto, CA)
- …public and private companies on: SEC reporting and disclosure requirements National securities exchange compliance Financings and general corporate matters This ... is a strong opportunity to join a high-growth platform that is a strategic priority for the firm, offering exposure to sophisticated work and a strong team-based environment. Qualifications: JD year: 2019-2021 3-5 years of relevant law firm experience… more
- TD Bank Group (New York, NY)
- …collaboratively to maintain compliance in all the regions in which TD Securities operates. The Tax Ops team is responsible for tax form due diligence, ... 3+ years of relevant experience in operational tax or regulatory compliance Who We Are TD Securities offers a wide range of capital markets products and services… more
- Marex (New York, NY)
- …more information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… more
- Pernini Legal, LLC (Los Angeles, CA)
- …full subscription and closing logistics . Oversee regulatory filings and advise counsel on compliance with federal securities laws. Serve as a trusted advisor to ... clients, offering strategic, business-minded guidance throughout the fund lifecycle. Collaborate with colleagues across regulatory, tax, and transactional practices to provide integrated legal support. Why Join Us? This is a unique opportunity to join a… more
- BNP Paribas (Jersey City, NJ)
- …control and efficiency improvements Within IGNA, there is a dedicated Compliance Audit Team that covers Financial Security topics, including Anti-Money Laundering, ... leaders. Demonstrates the ability to influence stakeholders at the team level. Compliance Culture and Conduct: Takes full responsibility for personal actions and… more
- SS&C Technologies (New York, NY)
- …rely on SS&C for expertise, scale, and technology. Job Description Associate Manager, Portfolio Compliance Analyst Locations : New York | Boston, MA | Chicago, IL | ... TX | Hybrid Get To Know US: The SS&C Compliance team is a division within the greater SS&C...of experience working with fixed income and leveraged loan securities or similar asset class with foundational experience in… more
- Goldman Sachs, Inc. (New York, NY)
- Job Description Job Title: Vice President, Head of Communication Department: Compliance Engineering Reports To: Managing Director, COO of Compliance Engineering ... and executing all internal and external communications emanating from the Compliance Engineering organization. This role is pivotal in ensuring clear, concise,… more
- Guggenheim Securities (New York, NY)
- Job Description: Position Summary Guggenheim Securities is seeking an experienced Control Room professional to join its Control Room team. This person will be ... corporate leaders of the Investment Bank, to ensure full understanding of compliance with relevant reputational, regulatory, and legal requirements applicable to the… more
