- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $150,000 USD TD is committed to providing fair ... Description:** The Global Markets Documentation Team is an integral part of TD Securities . GMD is a client facing team responsible for advisory services across… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- State of Montana (Helena, MT)
- *_Enforcement and Prosecuting Attorney for Insurance and Securities Fraud Cases_* Join the Montana Commissioner of Securities and Insurance (CSI) as an attorney ... focusing on prosecuting insurance and securities fraud cases. . *Salary:*$95,000 - $125,000, depending on...expenses*: Negotiable . *Application Requirements:*Cover letter, resume, and a legal writing sample (≤ 3,000 words) *CSI Overview* CSI… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $200,000 - $200,000 USD TD is committed to providing fair ... Description:** The Global Markets Documentation Team is an integral part of TD Securities . GMD is a client facing team responsible for advisory services across… more
- JPMorgan Chase (New York, NY)
- …**Job responsibilities** + Advise the Securitized Products businesses on all relevant legal and regulatory matters and relevant securities laws applicable to ... innovative solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed… more
- Thrivent Financial (Minneapolis, MN)
- …initially, with the commitment to become licensed within 6 months (SIE, Securities Exams (6/63, 6/63/65, or 7/66), Life/Health Insurance). Job Description Position ... position will consistently follow high standards of business and professional ethics, legal and regulatory requirements and company policies when dealing with others… more
- PNC (Pittsburgh, PA)
- …key stakeholders to drive PNC Capital Markets forward. PNCCM is registered as a securities broker and dealer, and we provide support to the business that offers ... and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate securities , state and municipal obligations, and mortgage-backed securities . The… more
- Raymond James Financial, Inc. (Memphis, TN)
- …and newsletters. + Conducts complex research and reports findings to Compliance, Legal , Regional Supervision, and Regional Management partners. + Consults with other ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of… more
- M&T Bank (Wilmington, DE)
- …Rule 38a-1 under the Investment Company Act of 1940, as promulgated by the Securities and Exchange Commission (SEC). The CCO will be responsible for ensuring that ... effective policies and procedures reasonably designed to prevent violation of federal securities laws and to promote a culture of ethical conduct and regulatory… more
- ServiceNow, Inc. (Denver, CO)
- …of ServiceNow globally. This is a great opportunity to work on corporate legal issues in an exciting, fast-paced environment. This is a full-time position, reporting ... into the VP of Corporate and M&A Legal . **Responsibilities** + Advise on public company and.... **Responsibilities** + Advise on public company and corporate securities law matters and related compliance, including SEC reporting,… more