- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- Aegon Asset Management (Cedar Rapids, IA)
- …skills. + Proficiency using MS Office tools. Preferred Qualifications: + Regulatory, securities or advertising compliance experience. + Areas of experience ... 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. + Update and maintain… more
- The Estee Lauder Companies (New York, NY)
- …*Coordinate comms and follow-up actions between the Board, exec leadership, stakeholders Securities Law Compliance *Provide legal counsel on SEC reporting and ... Internal Audit, Communications, HR, and Corp Citizenship & Sustainability to manage securities law compliance Proxy Statement *Lead prep/filing of the annual… more
- Warner Bros. Discovery (Atlanta, GA)
- …functions for the company. This role will oversee all corporate governance, securities compliance , public company reporting, and board operations, while also ... investor relations, corporate communications, CSR, and legal. Your Role Accountabilities ** Securities Compliance & SEC Reporting** + Ensure 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
- 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
- USAA (Plano, 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. (New York, NY)
- …responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced knowledge of:** + Compliance and risk training for the securities industry and/or ... compliance . + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: Securities Exchange… more
- Raymond James Financial, Inc. (Memphis, TN)
- …and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: ... **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of ... Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider… more