Securities Compliance Jobs
1 - 15 of 16
Search Results - Securities Compliance Jobs
Just Legal Search-New York
offers exposure to public securities offerings, equity transactions, ongoing public company advisory and securities compliance matters. Associates will work on complex capital markets transactions while advising innovative companies, particularly across...
Conventus-San Francisco
in real estate secured lending, foreclosure activity, forbearance and loss mitigation efforts, loan product creation and loan structuring, and secondarily in fund management and securities compliance, and—along with a pragmatic, business-minded approach...
Talently-Wheaton (IL)
of corporate experience and a passion for Securities Law, then this may be a perfect fit for you!
In this role, you will:
• Ensure compliance with applicable securities laws and regulations governing funds, such as the Investment Company Act of 1940.
• Help...
Talently-Wheaton (IL)
Series 24 required. Series 7/63/66 strongly preferred.
• 5–10+ years in broker-dealer or securities compliance with emphasis on private funds.
• Strong knowledge of Reg D, FINRA Rules 2111/2210/5122-5123, and Reg BI.
• Bachelor’s degree.
Nice to Have...
USAA-San Antonio
and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
• Responsible for the resolution of complex operations issues and/or member...
Talently-Wheaton (IL)
experience and a passion for Securities Law, then this may be a perfect fit for you!
In this role, you will:
• Ensure compliance with applicable securities laws and regulations governing funds, such as the Investment Company Act of 1940.
• Help manage...
USAA-San Antonio
and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
• Responsible for the resolution of complex operations issues and/or member...
Grammarly, Inc.-San Francisco
closely with Legal on securities compliance, insider trading policy administration, and cap table updates
• Partner with Payroll and Finance on tax withholding, mobility, and reporting
• Drive process improvements and scalable procedure documentation...
appcast.io -
USAA-San Antonio
and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
• Responsible for the resolution of complex operations issues and/or member...
USAA-Universal City (TX)
and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
• Responsible for the resolution of complex operations issues and/or member...
5 similar jobs: Seguin, San Antonio, New Braunfels, Converse, Schertz
Infleqtion-Louisville (CO)
a central role in enabling that transition.
Position Summary:
Infleqtion is seeking a Senior Counsel, Corporate & Securities to report directly to the Chief Legal Officer and serve as a critical legal partner for corporate governance, securities compliance...
workable.com -
Michael Page-New York
the preparation of employment agreements, option documents, stock plans, purchase contracts, and other standard corporate instruments.
• Conduct research related to securities compliance ("blue sky" matters) and complete any required state or federal forms...
michaelpage.com -
USAA-San Antonio
and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
• Responsible for the resolution of complex operations issues and/or member...
Michael Page-Boston
Strong background representing private equity sponsors and strategic investors.
• Deep understanding of corporate governance and securities compliance.
• Skilled in drafting, negotiating, and legal analysis.
• Comfortable working with legal AI tools...
michaelpage.com -
Upstream Bio-Waltham (MA)
processes, planning and drafting, including for earnings releases, investor presentations, and proxy materials.
• Monitor and advise on securities law compliance, including Nasdaq listing standards, Sarbanes-Oxley requirements, and insider trading policies...
12
Companies now hiring:
Securities Compliance jobs – Similar offers:
View Securities Compliance jobs in:
Don’t miss out on new job openings!
Create a job alert for: Securities Compliance
It's free, and you can cancel email updates at any time
12