- 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 ... specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …degree with progressive work experience + Minimum 7+ Years of related experience (in Compliance ) **Who We Are** TD Securities offers a wide range of capital ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair… more
- Huntington National Bank (Columbus, OH)
- …collateral exchange + Experience with regulatory trade reporting + Knowledge of securities regulations, compliance , and industry standards. + Ability to manage ... Description The Huntington Securities , Inc. (HSI) Trade Settlement Analyst is responsible...counterparties to resolve trade discrepancies, manage risk, and maintain compliance with regulatory requirements. Duties & Responsibilities: + Monitor… 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
- 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
- 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
- SpaceX (Hawthorne, CA)
- …a wide variety of complex legal and business issues. RESPONSIBILITIES: + Own securities law compliance , corporate governance matters, and board support + ... committee charters, and governance policies + Architect and implement compliance framework for securities laws and regulations (1933 Act, 1934 Act, Reg. D… more
- Zions Bancorporation (Salt Lake City, UT)
- …or a related field + 8+ experience in financial services regulatory compliance , securities industry, investment management, investment banking, auditing or other ... talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Manager** **within the Market, Liquidity, Wealth Risk & Compliance Team.**… more
- The Clorox Company (Oakland, CA)
- …meeting processes. + Own and continuously improve operational workflows for securities compliance , ensuring accuracy, timeliness, and alignment with regulatory ... company experience. + Strong understanding of public company operations and securities compliance processes. Familiarity with M&A/transaction support preferred.… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations ... **Essential Duties and Responsibilities** + Collaborate across Compliance teams to maintain a risk-based Compliance Testing program in accordance with testing… more