- 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
- 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
- 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
- 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
- Eaton Corporation (Beachwood, OH)
- …releases, investor presentations, marketing materials, and the Company's website. * Advise on securities law, compliance with SEC and NYSE rules and regulations, ... Eaton's legal organization is hiring a Counsel, Securities and Governance in Beachwood, Ohio at the US Headquarters. **What you'll do:** The Counsel, Securities … 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. ... Responsibilities: Securities and Public Company Reporting + Advise on securities law compliance , including the Securities Act of 1933, Exchange Act of… 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
- 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
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