Securities Compliance Jobs
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Search Results - Securities Compliance Jobs
LHH-Bristol (CT)
of experience in corporate governance and securities compliance
• Self-starter who is adept at working in a true team environment
• Excellent organizational and time management skills with high attention to detail
• Great written and verbal communication skills...
mindmatch.ai -
OpenAI-San Francisco
initiatives, strategic transactions, securities compliance, and other matters. This is a unique opportunity to be directly involved in the forefront of the legal and technology field. This role will work closely with our Legal, Finance, People, and other teams...
appcast.io -
Geraci LLP-Irvine
hedge funds, asset managers, and institutional investors.
• The Work. Securities offerings, crowdfunding, syndications, fund formation, securities compliance, and corporate transactions across the US. Our focus is to ensure our clients are raising...
mindmatch.ai -
S&P Global-Princeton (FL)
of the Diligent Entities database and supporting corporate governance efforts through subsidiary management, transactional, and securities compliance matters. […]
Prepare various periodic reports regarding our subsidiaries, including (i) regular publication...
efinancialcareers.com -
5 similar jobs: New York, Englewood, Dallas, Houston, Centreville
Exela Technologies-Santa Monica (CA)
A publicly-traded corporation operating in the business services and technology sector, with a worldwide presence, is currently seeking an accomplished attorney to serve as its Assistant General Counsel to assist with SEC reporting and securities...
mindmatch.ai -
Jobs for Humanity-Atlanta
to determine advisability of defending or prosecuting litigation.
What you will need:
• Demonstrated experience in general corporate matters including corporate organization, securities compliance, drafting transactional documents, license agreements...
resume-library.com -
1 similar job: Jacksonville
Washington
Securities Paralegal, you will undertake a wide array of tasks to support our attorneys in navigating the complex landscape of corporate and securities compliance. Your responsibilities will include:
• Researching federal and state laws related to corporate...
icims.com -
USAA-Phoenix
the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
• Ensures...
1 similar job: Colorado Springs
Tempest Therapeutics-Brisbane (CA)
offerings, and other agreements.
• Serve as a trusted legal advisor to senior management and various business units, providing guidance on contracts, securities, compliance, governance, intellectual property, and other legal matters.
• Play a key role...
mindmatch.ai -
1 similar job: Minneapolis
USAA-San Antonio
the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
• Ensures...
Des Moines
in the Principal Financial Network.
• Collaborate with business partners in Broker Dealer Operations and Principal Securities Compliance to research, respond and customer complaints.
• Assist in researching and solving escalated items from the team, providing...
principal.com -
USAA-Tempe
of a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
Ensures risks associated...
3 similar jobs: Gilbert, Scottsdale, Glendale
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