- 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
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- NetApp (NC)
- …will report to our Director, Corporate Legal. **Job Responsibilities:** + Handle securities law compliance , disclosure, and reporting under federal securities ... and investment matters + Maintain programs and policies to ensure compliance with securities -related regulatory requirements, NASDAQ listing standards,… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to ... Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology, Advisory Compliance… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- Aegon Asset Management (Cedar Rapids, IA)
- …field, or equivalent education and experience. + Two years of regulatory, securities , or advertising compliance experience. + Areas of experience desired ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...+ Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives. + Research current, new,… more
- USAA (Tampa, FL)
- …responsibilities of a securities principal: In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and ... Executes process improvements and leads organizational process changes. Maintains compliance with policies, procedures, and all applicable regulatory requirements.… more
- USAA (San Antonio, TX)
- …a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and ... to maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements. We offer a… more
- Raymond James Financial, Inc. (NY)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and ... 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
- Fluent (New York, NY)
- …risk management + Advise on and oversee policies and procedures relating to securities law compliance and disclosure matters, including the administration of the ... + Advise on executive compensation programs with a view to securities law compliance + Prepare, review and negotiate contracts with various third-party vendors… more