- Convey Health Solutions (Fort Lauderdale, FL)
- …technology space. Primary responsibilities involve managing corporate governance and securities compliance , overseeing external counsel, and drafting, reviewing, ... and solutions to address risk + Create processes for and manage compliance with securities rules and regulations + Provide support for M&A transactions Education… more
- Trexquant Investment (Stamford, CT)
- …as needed. + Help develop and maintain internal policies and procedures related to securities law compliance . Requirements + JD from an accredited law school and ... of nuanced topics in the financial market space + Support the company's compliance with SEC regulatory requirements and industry best practices by working closely… more
- Raymond James Financial, Inc. (New York, NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...regulations of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and… 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
- MUFG (Irving, TX)
- …assessments, which are primarily focused on evaluating effectiveness of controls and compliance with Securities and Exchange Commission (SEC), Financial Industry ... recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- AbbVie (North Chicago, IL)
- …Legal Work in key corporate legal areas such as corporate financing, securities compliance and disclosure, compensation and benefits, and corporate governance. ... Overview Summer associates will be immersed in AbbVie's in-house legal and compliance teams, learning about and handling real-world matters under the supervision of… more
- Global Foundries (Malta, NY)
- …intellectual property rights and strategic licensing, litigation and risk management, securities and government compliance , labor and employment and ethics ... various labor and employment issues and policies + Assisting GF securities and compliance team with research, document drafting and governmental compliance … more
- Post Holdings Inc. (St. Louis, MO)
- …counsel on a variety of issues. SECURITIES MATTERS + Advise on federal securities laws, NYSE compliance and other corporate laws. + Review and update D&O ... and external counsel to support the Company's general corporate, M&A and securities needs. This position will be solutions-oriented, pragmatic and proactive in… more
- JPMorgan Chase (Boston, MA)
- …proficiency in identifying and resolving issues related to accounting or securities transactions, ensuring compliance with validation tolerances. + Proven ... Y **Job responsibilities** + Oversee the maintenance of accurate accounting and securities records for each fund administered, ensuring adherence to all prescribed… more
- Robert Half Legal (Pleasanton, CA)
- …In this role, you will play a key part in supporting corporate governance, securities law compliance , and entity management for a publicly-listed company. This ... board and committee materials, and drafting minutes. * Oversee compliance with the insider trading policy by maintaining trading...least 5 years of experience working in the corporate securities practice area at a publicly-listed company or a… more