- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities / Transactions Audits (Hybrid) Capital One's Audit function is a dedicated ... of the Audit team, the candidate will focus on operational and compliance audits, including operations of investment ( securities and transactions).… more
- TD Bank (New York, NY)
- …and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… 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 ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...of base pay for the primary location of the position . The salary for this position ultimately… more
- State of Arkansas (Little Rock, AR)
- …Req ID: 50508 Location: Little Rock, AR, US, 72202 Category: STATE SECURITIES DEPARTMENT Anticipated Starting Salary: $58,700 Position Number: 22180842 County: ... Position Information Job Series:Financial - Insurance Financial Examiners Classification: Securities Examiner I Class Code:FIF07P Pay Grade:SPC01 Salary Range:$58,700… more
- 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. ... requirements. Key Responsibilities: Securities and Public Company Reporting + Advise on securities law compliance , including the Securities Act of 1933,… 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 ... to legal ethical standards and business standards is required. Position Requirements: + Must be a graduate of an...securities law, focusing on public company reporting and compliance + Strong verbal and written communications with the… more
- VF Corporation (Greensboro, NC)
- …around environmental, sustainability and governance topics + Manage the legal compliance framework for securities policies and mandatory environmental and ... or www.vfc.com . **What will you do?** A day in the life of Senior Counsel, Securities & Cap Markets at VF looks a little like this. As Senior Corporate Counsel at… 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
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... details for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements to existing… more
- M&T Bank (Boston, MA)
- …an important role in promoting a culture of ethical conduct and commitment to compliance with securities regulation. You will have the opportunity to play an ... **Overview:** M&T Securities , Inc. is the institutional broker-dealer affiliate of...active role in other areas of Core compliance , including regulatory filings, assisting in regulatory inquiries, marketing… more
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