- Commonwealth of Pennsylvania (PA)
- Non-Depository and Securities Compliance Examiner 1 Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/4933339) Apply Non-Depository and ... Securities Compliance Examiner 1 Salary $50,836.00 - $77,321.00 Annually Location *Home Headquartered, PA Job Type Civil Service Permanent Full-Time Job Number… more
- Citigroup (Tampa, FL)
- …a senior compliance and operational risk manager for Global Wealth Securities Backed Lending (SBL) Independent Compliance Risk Management (ICRM) and Global ... for Global Wealth Deposits and Lending businesses. **Responsibilities:** + Provide compliance product coverage to Global Wealth SBL business. Provide compliance… more
- Eaton Corporation (Beachwood, OH)
- …regulatory requirements. **Job responsibilities** * Lead and manage all aspects of corporate securities compliance , including the review and drafting of all 1934 ... The Senior Counsel, Corporate & Securities leads all securities legal activities including compliance with securities laws, debt and equity financings,… more
- TD Bank (New York, NY)
- …+ 5-7 Years of related experience **Preferred Qualifications:** + Seven or more years securities compliance or related securities experience required. + JD ... you more specific details for this role. **Job Description:** The VP Compliance , TD Securities oversees/leads a team(s) of specialists/professionals providing… more
- State of Maine, Bureau of Human Resources (Gardiner, ME)
- Senior Compliance Examiner (Senior Securities Examiner) Gardiner , Maine , United States | Professional & Technical | Full-time Apply by: May 30, 2025 Apply with ... Protect Maine investors from fraudulent, deceptive and unethical practices in the securities and investment industry and promote healthy capital markets with the… 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
- TD Bank (Chicago, IL)
- …+ 7+ years of relevant experience **Preferred Job Experience:** + Consumer compliance experience + CRCM, CIA, or CPA certification + Corporate and Investment ... Banking, Capital Markets, investment strategy, broker/dealer operations, fiduciary and trust services experience is a plus **Who We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by… more
- Shoals Technology Group (Portland, TN)
- …work closely with our executive leadership and cross-functional teams to ensure compliance with securities laws and regulations Responsibilities: Provide legal ... guidance and support on securities law compliance , including reporting and disclosure obligations under federal securities laws. Collaborate with our finance… more
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
- Southern California Edison (Rosemead, CA)
- …job, you'll be primarily responsible for ensuring SCE's and Edison International's compliance with securities laws, advising management on disclosure issues, ... and disclosure practices among peer companies; providing legal advice regarding compliance with securities laws and sensitive disclosure issues, including… more
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