- Brink's (Coppell, TX)
- …team. This role will be responsible for providing legal support on securities law compliance , corporate governance, and public company reporting obligations. ... Responsibilities: Securities and Public Company Reporting + Advise on securities law compliance , including the Securities Act of 1933, Exchange Act of… more
- Lumen (Austin, TX)
- …assist with Annual Shareholder Meeting. + Maintain policies and procedures relating to securities law compliance and disclosure matters. + Advise and assist ... function to play in supporting the SVP in managing Lumen's Governance and Securities . The ideal candidate will be responsible for ensuring regulatory compliance … more
- Packing Corp of America (Lake Forest, IL)
- …management and administration of the Legal department. Principle Accountabilities: + The Securities lawyer ensures compliance with the Securities Exchange ... * Trust The Assistant General Counsel assigned to the Securities section will serve as the company's securities...securities law, focusing on public company reporting and compliance + Strong verbal and written communications with the… more
- State of Arkansas (Little Rock, AR)
- … firms, broker-dealers, and investment advisers in an attempt to ensure compliance with securities laws and regulations. This role involves supporting ... practices to identify abnormalities, irregularities, or areas of concern. Evaluate basic compliance with securities laws, regulations, and policies. Support the… more
- Robert Half Legal (Chicago, IL)
- …a 10-15% bonus target and a phenomenal benefits package. Senior Corporate & Securities Paralegal Responsibilities: SEC Compliance & Reporting: + Assist in the ... with a publicly traded holding company that's seeking a Senior Corporate & Securities Paralegal with at least 7-10+ years of experience to join their team.… more
- Guardian Life (Annapolis, MD)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities , and Park Avenue Investment Advisory, you will ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry compliance reviews. + Rules and regulations of the ... 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
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to ... Surveillance Compliance professionals engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory … more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units in adhering… more