- 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: ... education, experience, specialized training and/or certification to serve as the compliance partner for the Global Wealth Solutions ("GWS") business line,… more
- TD Bank (Charlotte, NC)
- …board reporting, with clear messaging on data insights from banking and securities regulation, key compliance metrics, and regulatory remediation. *Ability to ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… 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: ... assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business… more
- AAR (Wood Dale, IL)
- …Assist with general corporate and securities matters, including federal securities disclosure compliance , financing transactions and merger and acquisition ... activity. Support the Companys corporate compliance program. Provide support for matters related to international trade, government contracts and Federal Aviation… more
- Equitable (Charlotte, NC)
- …timely, and contextual revisions and feedback for the purpose of ensuring compliance with securities and insurance industry regulations and company policies ... Advertising Compliance Reviewer ( 250000DU ) **Primary Location** :...All reviews are based on FINRA, SEC, and state securities and insurance regulations, as well as company standards… more
- Unity Technologies (New York, NY)
- …documents, including periodic and current reports, and proxy statements. + Provide securities law advice and compliance guidance for earnings releases, investor ... description** **The opportunity** Unity is looking for a Vice President, Corporate and Securities to join its Legal team. In this role, you will be responsible… more
- Raymond James Financial, Inc. (New York, NY)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and ... communication of all exam findings to branch management, exam managers and compliance leadership + Provides reporting of exam findings and complete any related… more
- Principal Financial Group (Des Moines, IA)
- …Assessment/Data Protection Impact Assessments (PIA/DPIA) are necessary. Oversee Principal Securities privacy programs, compliance , and accountability, including ... Specialist to join our Broker Dealer team in Principal Securities . In this role, you'll serve as information privacy...of, and access to employee and customer information in compliance with federal and state laws, and the organization's… more
- MyFlorida (Tampa, FL)
- …NOTES: Four (4) or more years of professional examination, regulatory or compliance work experience relating to securities dealers, investment advisers, ... investment adviser or broker-dealer. + Individuals who hold or have held securities industry licenses, regulatory compliance certifications, or other relevant… more
- Meta (San Francisco, CA)
- …regulatory filings, with emphasis on proxy statements 2. Advise on complex securities law compliance and disclosure matters, with emphasis on governance ... experience with public companies. Emphasis on SEC and regulatory compliance , corporate governance, and shareholder engagement 14. Experience leveraging… more