Securities Compliance Jobs
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Search Results - Securities Compliance Jobs
Financial Industry Regulatory Authority-Jersey City
communication skills.Possess excellent time management skills.Minimum of three years of securities, compliance or financial regulatory experience.Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.Work...
EdgeTech Staffing, Inc-Waltham (MA)
corporate matters, including corporate governance, securities compliance, drafting transactional documents. License agreements, corporate law, M&A, contractual law, regulatory matters, risk management.
Regularly review, refine, and maintain corporate...
resume-library.com -
Financial Industry Regulatory Authority-Boca Raton
communication skills.Possess excellent time management skills.Minimum of three years of securities, compliance or financial regulatory experience.Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.Work...
Lambda Inc.-San Francisco
and committee meeting materials, resolutions, minutes, and written consents, maintaining applicable entity registrations and filings through our secretarial services provider.
• Securities Compliance: Assist with securities law compliance, including...
appcast.io -
Financial Industry Regulatory Authority-Rockville (MD)
communication skills.Possess excellent time management skills.Minimum of three years of securities, compliance or financial regulatory experience.Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.Work...
USAA-Phoenix
coordination and implementation of Life Company specific programs, projects, and initiatives.
• Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance, provides...
3 similar jobs: Tampa, San Antonio, Colorado Springs
Financial Industry Regulatory Authority-Woodbridge (NJ)
communication skills.Possess excellent time management skills.Minimum of three years of securities, compliance or financial regulatory experience.Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.Work...
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.
• Responds to executive complaints as necessary.
• Ensures risks associated...
Financial Industry Regulatory Authority-Dallas
communication skills.Possess excellent time management skills.Minimum of three years of securities, compliance or financial regulatory experience.Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.Work...
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.
• Responds to executive complaints as necessary.
• Ensures risks associated...
USAA-San Antonio
Company specific programs, projects, and initiatives.
Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities Counsel and Securities Compliance, provides research and documentation support...
tiptopjob.com -
5 similar jobs: Dallas, Fort Collins, Houston, Denver, Colorado Springs
Menlo Park (CA)
privacy, corporate governance, securities, compliance, employment, litigation, and risk management. The successful candidate will also lead the Legal Department's efforts in privacy and data protection, ensuring compliance with relevant laws...
icims.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.
Responds to executive complaints as necessary.
Ensures risks associated...
tiptopjob.com -
2 similar jobs: Houston, Dallas
Financial Industry Regulatory Authority-San Francisco
communication skills.Possess excellent time management skills.Minimum of three years of securities, compliance or financial regulatory experience.Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.Work...
USAA-Houston
and coordination with Securities Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits.
Responds to executive complaints as necessary.
Ensures risks associated...
tiptopjob.com -
2 similar jobs: Dallas, San Antonio
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