- Genpact (Atlanta, GA)
- …the availability, capacity, and performance of data center systems, ensuring compliance with service level agreements (SLAs). Implement and maintain data center ... Asset management and conduct regular audits and inspections to ensure compliance with industry standards, regulations, and best practices. Manage vendor… more
- Kohl's (Menomonee Falls, WI)
- …including C-Suite executives and Deputy General Counsel, to advise on corporate securities compliance , emerging securities and governance trends, and ... outside counsel, if/as needed, in support of the corporate and securities compliance function in an operationally efficient and cost-effective manner. PROVIDES… more
- Morgan Stanley (New York, NY)
- …incentive packages, and other Morgan Stanley sponsored benefit programs. **Job:** ** Compliance * **Title:** *Institutional Securities Group (ISG) Compliance ... financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve… more
- Intuit (Mountain View, CA)
- …respect for privacy and confidentiality. How you will lead + Supporting Intuit's securities compliance program, which will include SEC filings, board governance, ... auditors and other advisors. + Identifying and creating efficiencies within the securities compliance program through the use of technology, including building… 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
- Wells Fargo (Washington, DC)
- …filings and other public disclosures, corporate treasury activities, corporate governance, and securities law compliance matters. + Review, provide comments, and ... advise on compliance with securities law requirements and best practices for significant environmental, social and governance disclosures, including… more
- Amentum (Chantilly, VA)
- …advice on a wide range of matters including mergers and acquisitions, securities laws compliance and corporate governance and secretarial requirements. This ... law firm and/or in-house legal experience handling mergers and acquisitions, securities laws compliance and corporate governance/secretarial responsibilities. +… more
- Global Foundries (UT)
- …M&A, debt and equity financings), general corporate matters, public company reporting, securities law compliance , tax, treasury and corporate accounting support. ... + Advise on and own policies and procedures relating to securities law compliance and disclosure matters, including the administration of the Company's Insider… more
- Ball Corporation (Westminster, CO)
- …to Board. + Advises senior executives on projects and issues relating to securities laws compliance , shareholder services and corporate governance; manages and ... globe!** **Primary Purpose of this Position:** The Vice President, Corporate and Securities & Assistant Secretary works closely with the Senior Vice President, Chief… more
- Entergy (Washington, DC)
- …10-K, 10-Q and 8-K, the proxy statement and Section 16 filings, and managing securities law compliance programs. The successful candidate will be responsible for ... Corporate & Securities Attorney **Date:** May 28, 2024 **Location:** New...be paid overtime associated with such duties. **Job Segment:** Compliance , M&A, Project Manager, Venture Capital, Law, Legal, Finance,… more
- Regeneron Pharmaceuticals (Sleepy Hollow, NY)
- …to provide legal advice with regard to public company reporting, securities laws compliance , treasury/financing matters, corporate governance, and general ... work._ As a Director, Counsel for Corporate Governance & Securities a typical day may include: + Assist in...10 years of experience in SEC and public company compliance and corporate governance. Law-firm training preferred; experience with… more
- Dick's Sporting Goods (Coraopolis, PA)
- …role is based in Pittsburgh, PA at our corporate headquarters. + Responsible for securities law compliance and filings (10-Ks, 10-Qs, 8-Ks, proxy statements, and ... for this role is to lead the legal work related to (i) SEC compliance , public company disclosure and reporting, (ii) corporate governance matters, and (iii) capital… more
- Centuri Group, Inc. (Phoenix, AZ)
- …be responsible for, at the direction of the CLAO, overseeing the Company's compliance with all securities laws and governance requirements. This position will ... are listed and may be responsible for ensuring the Company's compliance with securities laws and exchange listing standards + Administer trading black-out… more
- State of Colorado (Denver, CO)
- …laws, rules, and/or policies; + Demonstrated professional* experience working in the financial securities industry, in a compliance office, or a regulatory risk ... preferred qualifications: Demonstrated professional* experience working in the financial securities industry, in a compliance office, or...in the financial securities industry, in a compliance office, or a regulatory risk unit. 11 DORA… more
- Chemours (Wilmington, DE)
- …and tax. This position is lead attorney for the purposes of ensuring compliance with securities laws and related corporate governance issues, with significant ... practices, templates, tools, and associated policies, and training to ensure compliance with securities laws and related regulations. + Guide business leaders on… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as ... will have a dotted line to the President, Park Avenue Securities . Reporting into the PAS Chief Compliance Officer will be a team of associates. **You Are** +… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory ... expertise. Reports directly to the Head of Private Side Compliance Advisory for SMBC Nikko Securities Inc....Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** + Responsible for providing regulatory… more
- Sysco (Houston, TX)
- … Securities and Corporate Governance + Provide daily advice and counsel regarding compliance with federal securities and corporate laws, as well as applicable ... investor presentations and other significant public disclosures + Advise, develop compliance processes and coordinate training on applicable securities law… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Advanced knowledge of:** * Concepts, practices, and procedures of securities industry compliance . * Rules and regulations of the ... to support the design, implementation, and oversight of a comprehensive compliance program for Global Wealth Solutions ("GWS") Investment Products. Leads major… more
- Citizens (Johnston, RI)
- …+ Bachelor's Degree + 3 or more years of experience in investment securities sales, sales supervision, operations, or compliance + FINRA registrations Series ... and trading activities + Collaborate with other business lines including Supervision, Compliance , Operations, and Sales teams. + Perform call outs to clients to… more
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