Securities Compliance Jobs
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Search Results - Securities Compliance Jobs
Tbwa Chiat/Day Inc-Santa Clara
team and provide strategic legal advice on a variety of corporate governance, securities compliance, equity management, and corporate development matters. The ideal candidate will have extensive experience managing corporate governance frameworks...
appcast.io -
Sound Search Solutions, LLC-Indianapolis
with four to five years of experience advising public companies on securities compliance (financial reporting and other 34 Act compliance matters) and corporate governance.
Candidates should have demonstrated experience on a wide variety of securities law...
Mirum Pharmaceuticals, Inc.-Foster City
within Mirum. Responsibilities will span a wide range of duties ensuring that the company operates in accordance with all legal requirements. The focus will be to oversee and direct general corporate legal matters, securities compliance, mergers...
appcast.io -
reAlpha-Jersey City
including due diligence, transaction structuring, and integration, as well as on matters related to securities law, public offerings, and securities compliance. This position is ideal for a candidate with a solid foundation in M&A and securities law, looking...
USAA-San Antonio
fulfill the responsibilities of a securities principal: 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...
Matchstick-Melville (NY)
Securities Compliance Professional designation or the NRS Investment Adviser Certified Compliance Professional
• Minimum 10+ years experience with progressively senior roles within the compliance program of a SEC or state-registered investment adviser...
USAA-Tampa
needed.
• May fulfill the responsibilities of a securities principal: In conjunction and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries...
Cedar Rapids
Overview:
Responsible for the management and coordination of compliance activities in support of Sammons Financial Group Companies' securities operations. Represent the Securities Compliance Department in Business Unit and Compliance initiatives...
sammonsfinancialgroup.com -
2 similar jobs: Des Moines, Davenport
IES Holdings-Houston
Securities & Compliance
• Prepare and file SEC reports, including Forms 3, 4, and 5, Proxy Statements (Schedule 14A), Form 10-K, Form 10-Q, and Form 8-K.
• Ensure compliance with NASDAQ listing requirements and corporate policies related to stock ownership...
mindmatch.ai -
Capital One-Mclean (TX)
Director, Assistant General Counsel - Governance and Securities
The Governance & Securities team is seeking an experienced attorney to join a dynamic group of legal professionals who support Capital One’s Board of Directors, executive management...
appcast.io -
Direct Counsel-Minneapolis
This is an excellent opportunity to work with a nationally recognized practice advising public companies on securities compliance and corporate governance matters.
Key Responsibilities:
• Counsel public companies on '34 Act compliance, including financial reporting...
Pernini Legal, LLC-Dallas
investments and divestitures.
• Advise on corporate governance, securities compliance, and other commercial matters.
• Draft and negotiate transaction documents, including purchase agreements, financing documents, and corporate governance instruments...
jobvertise.com -
San Francisco
Overview:
About the Role
As Lead Counsel, Securities Law, you will report to the General Counsel and serve as a strategic legal partner to Hinge Health’s executive leadership, finance, investor relations, and compliance teams. You will oversee...
hingehealth.com -
Rivian-Palo Alto (CA)
with Committee liaisons and supporting the drafting of meeting agendas, materials and minutes.
2. Drafting and reviewing documentation and materials in respect of corporate governance requirements and compliance with Nasdaq and the Securities and Exchange...
appcast.io -
Missouri Secretary of State-Jefferson City
Job Description
Job Description
Primary Responsibilities:
Are you passionate about protecting investors and ensuring the integrity of financial markets? Join our team as a Securities Compliance Examiner and play a crucial role in safeguarding...
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