📑 The PG&E Law department is seeking a mid-level Corporate and Finance teammate to support corporate and Board governance, executive compensation and benefits, NYSE and NYSE Amex exchange listing standards, and related compliance matters. This position will report to the Managing Counsel for Corporate and Finance and will be responsible for providin ...
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📑 Summary The Office of the Advocate for Small Business Capital Formation (OASB) is hiring an Attorney-Adviser to support small business capital formation policy evaluation and analysis. Applicants can learn about the mission of the Office by reading more at Duties At the Securities and Exchange Co ...
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📑 SummaryThe Division of Examinations- Los Angeles Regional Office is hiring a Supervisory Securities Compliance Examiner in Los Angeles, CA.This job is open toCareer transition (CTAP, ICTAP, RPL)Federal employees who meet the definition of a surplus or displaced employee.Internal to an agencyCurrent federal employees of this agency. Clarificatio ...
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📑 The Office of Distributions (OD) is responsible for returning money to harmed investors obtained through enforcement actions where a disgorgement fund exists, or a Fair Fund is created pursuant to the Sarbanes-Oxley Act of 2002.$169,368 - $284,600/year The Office of Distributions (OD) is responsible for returning money to harmed investors obtained ...
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📑 Summary The Office of Chief Counsel within the Division of Examinations is hiring an Attorney-Adviser, SK-0905-16 in Washington, DC . This position will serve as a senior legal adviser to the Chief Counsel and Division leadership. Duties At the Securities and Exc ...
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📑 The Division of Examinations-Los Angeles Regional Office is hiring a Supervisory Attorney-Adviser in Los Angeles, CA.$160,256 - $276,614/year The Division of Examinations-Los Angeles Regional Office is hiring a Supervisory Attorney-Adviser in Los Angeles, CA.Salary$160,256 - $276,614/yearConditions of EmploymentCITIZENSHIP: You must be a US Citizen ...
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📑 The Division of Examinations (Exams) is seeking to fill the position of Associate Director in the Office of Investment Advisers and Investment Company Examinations (IA/IC). This position is located in Washington, DC and is open to current SEC employees.$200,988 - $305,096/year The Division of Examinations (Exams) is seeking to fill the position of ...
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📑 Director, Assistant General Counsel, Corporate Listings page is loaded Director, Assistant General Counsel, Corporate Listings Apply locations Lenexa, KS New York, NY Chicago, IL time type Full time posted on Posted 2 Days Ago job requisition id R-3432 Job DescriptionPosition Summary:Provide le ...
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📑 Minnesota, St Louis Park, Minnesota, United States of America Job Description Posted Tuesday, January 16, 2024 at 5:00 AM Two Harbors Investment Corp., an NYSE-listed public company, is seeking a corporate securities and governance attorney to join its team of legal professionals. The position reports to a senior corporate attorney and will b ...
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📑 Minnesota, St Louis Park, Minnesota, United States of America Job Description Posted Wednesday, March 20, 2024 at 4:00 AM Two Harbors Investment Corp., an NYSE-listed public company, is seeking a corporate securities and governance attorney to join its team of legal professionals. The position reports to a senior corporate attorney and will b ...
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📑 SEBI Notification for 25 Officer Grade A Jobs has been released. Job seekers searching to start a Career at Securities and Exchange Board of India must go through this page. All hiring details are updated on this after checking the updates from SEBI official website (sebi.gov.in) Organization Name Securities and Exchange Board of India (SEBI ) ...
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📑 About: A well-established global law firm are looking to onboard an Associate to join their Capital Markets practice group. They are looking to grow their team in their New York, New York office location. The firm is well established with 7 offices worldwide and a platform of over 400 attorneys. The team advises both public and private capital rais ...
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📑 Location: Onsite - Fairfield County, CTCompensation: $200k-$250k base + bonus ($100k-$150k)Responsibilities:The Compliance Officer – Regulated Funds will drive the regulatory compliance function for all matters relating to the registered and regulated investment vehicles managed by the firm (including closed-end funds, interval funds and business d ...
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📑 SEC Attorney (2 Positions) - San FranciscoU.S. Securities & Exchange Commission Vacancy AnnoucementJob Title Attorney positions Location San Francisco, CACompensation $102,691 to $168,892 per yearSeries & Grade SK-905-12SummaryThese 2 positions are within the Office of Compliance Inspections and Examinations in the San Francisco Regional Office of ...
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📑 Title: Vice President of ComplianceTotal Compensation: $300,000.00 – $400,000.00 (including bonus)Location/Office Policy: Fairfield County, ConnecticutRole Overview: Our client, a specialist asset manager with $7+ billion in assets under management, is seeking a Vice President of Compliance to drive the regulatory compliance function for its regist ...
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📑 The candidate should have at least 3-5+ years of experience, preferably at a private fund or major consulting firm. The individual must be very attentive to details, have strong writing skills, be able to craft compliance policies and procedures, and excel at project management. Will be working as part of a 2 person compliance team.Responsibilities ...
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📑 About Futu US Inc.Futu Clearing Inc., Moomoo Financial Inc., Moomoo Technologies Inc., and Moomoo Crypto Inc. are indirect wholly owned subsidiaries of Futu Holdings Limited (Nasdaq:FUTU). The firms are SEC registered broker-dealers and members FINRA/SIPC and a registered Crypto Exchange in all 50 states. Moomoo Financial Inc. is a self-clearing br ...
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📑 Summary The Commodity Futures Trading Commission’s Division of Enforcement (DOE) is responsible for investigating suspected violations and enforcing the Commodity Exchange Act. Duties The Division of Enforcement is responsible for conducting investigations and enforcement activities ...
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📑 Annual salary range: $260,000 – $365,000We are looking to speak with government, white collar and investigations associate attorneys to join our client’s Litigation practice in their Chicago office.Your practice will be focussed on representing companies and individuals in civil and criminal government investigations and securities litigation, cond ...
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📑 Annual salary range: $260,000 – $365,000We are looking to speak with government, white collar and investigations associate attorneys to join our client’s Litigation practice in their Los Angeles office.Your practice will be focussed on representing companies and individuals in civil and criminal government investigations and securities litigation, ...
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📑 OverviewThis position reviews client accounts to ensure appropriate information and documentation is present for principal approval. Examines new account documentation and sources any missing information. Evaluates securities and insurance transactions, exception reports, and flagged transactions based on suitability information provided by the cli ...
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📑 OverviewThis position reviews client accounts to ensure appropriate information and documentation is present for principal approval. Examines new account documentation and sources any missing information. Evaluates securities and insurance transactions, exception reports, and flagged transactions based on suitability information provided by the cli ...
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📑 OverviewThis position reviews client accounts to ensure appropriate information and documentation is present for principal approval. Examines new account documentation and sources any missing information. Evaluates securities and insurance transactions, exception reports, and flagged transactions based on suitability information provided by the cli ...
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📑 Job Summary: The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions and the registration and oversight of securities, dealers and salespersons, and investment advisers; to enhance legitimate capital formation and deter financial fraud; and to minimize the b ...
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📑 Job DescriptionPosition Summary:Provide legal support to Cboe's U.S. corporate listings business on Cboe BZX Exchange, Inc., including providing legal guidance and advice on numerous related issues related to listing standards and processes, managing regulatory filings, working closely with and advising regulatory staff, and otherwise advising the ...
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📑 Job DescriptionPosition Summary:Provide legal support to Cboe's U.S. corporate listings business on Cboe BZX Exchange, Inc., including providing legal guidance and advice on numerous related issues related to listing standards and processes, managing regulatory filings, working closely with and advising regulatory staff, and otherwise advising the ...
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📑 We are looking to speak with experienced securities enforcement associates to join our client’s well-regarded practice group in Washington, DC.This is an awesome opportunity to work alongside leaders in thesecuritiesenforcementfield and grow your practice inWashington, DC.You will join an international team representing public companies, regulated ...
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📑 Job Summary:Provides hands-on advice and counsel to senior management on company’s compliance with applicable securities laws and corporate governance matters. Assists with contract drafting and negotiations and manages the overall contract negotiation process.Responsibilities:Provides advice and counsel to senior management on company’s compliance ...
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📑 At Genworth, we empower families to navigate the aging journey with confidence. We are compassionate, experienced allies for those navigating care with guidance, products, and services that meet families where they are. Further, we are the spouses, children, siblings, friends, and neighbors of those that need care—and we bring those experiences wit ...
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📑 About the Firm:A global financial organization that offers a wide range of financial services, such as asset management, securities trading, and hedge funds. They have developed into one of the major forces in the financial sector, renowned for their technology- and quantitative-driven methods of investing and trading. They are known for drawing in ...
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📑 VP - Sr Associate General Counsel - Securities amp Corporate AffairsPosted on Oct 26, 2021 Apply for this job your email: upload resume: ProfilePOSITION OVERVIEWThe primary responsibility of the VP - Sr Associate General Counsel, Securities & Corporate Affairs is to provide advice and guidance for SEC and NYSE reporting and compliance, corporate ...
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📑 Ascension Global Staffing & Executive Search, a Hispanic Women Owned & Operated National Recruiting Firm stands at the forefront of innovation and excellence. Led by a visionary team with a deep commitment to diversity and inclusion, our firm is dedicated to identifying and attracting top talent across the nation. With a unique blend of cultural in ...
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📑 Managing Director - Sales and Trading, TD Securities 417512BR Job Category - Primary Securities / Wholesale Banking Work Location 1 Vanderbilt Avenue TDS Employment Type Regular City New York Time Type Full Time State New York Hours 40 Pay Range $285,000 - $1,250,000 annually Job Details The Managing Direct ...
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📑 By using a Site or interacting with a Wells Fargo advertisement or page or account on a third party site, you consent to this Policy, including your consent to our use and disclosure of information about you in the manner described in this Policy. Assistant General Counsel - Corporate and Securities page is loaded Assistant General Counsel - Co ...
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📑 Job DescriptionJob DescriptionAscension Global Staffing & Executive Search, a Hispanic Women Owned & Operated National Recruiting Firm stands at the forefront of innovation and excellence. Led by a visionary team with a deep commitment to diversity and inclusion, our firm is dedicated to identifying and attracting top talent across the nation. With ...
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📑 We are looking to speak with litigation Associates to join our client’s Financial Services group in San Francisco.This is an excellent opportunity for an attorney to resume significant responsibility in the litigation of commercial disputes in federal and state court and/or arbitral forums, including drafting pleadings, brief writing, motion practi ...
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📑 We are looking to speak with litigation Associates to join our client’s Financial Services group in Washington, DC.This is an excellent opportunity for an attorney to resume significant responsibility in the litigation of commercial disputes in federal and state court and/or arbitral forums, including drafting pleadings, brief writing, motion pract ...
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📑 We are looking to speak with litigation Associates to join our client’s Financial Services group in New York.This is an excellent opportunity for an attorney to resume significant responsibility in the litigation of commercial disputes in federal and state court and/or arbitral forums, including drafting pleadings, brief writing, motion practice, h ...
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📑 Calfee Strategic Solutions (CSS), a wholly owned subsidiary of Calfee, Halter & Griswold LLP has an opportunity for a Compliance Operations and Risk Consultant for its Cincinnati office. CSS is not a law firm and does not provide legal services. It supports advisers in the development and administration of their compliance programs.The Compliance O ...
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📑 Calfee Strategic Solutions (CSS), a wholly owned subsidiary of Calfee, Halter & Griswold LLP has an opportunity for a Compliance Operations and Risk Consultant for its Cincinnati office. CSS is not a law firm and does not provide legal services. It supports advisers in the development and administration of their compliance programs. The Compliance ...
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📑 Calfee Strategic Solutions (CSS), a wholly owned subsidiary of Calfee, Halter & Griswold LLP has an opportunity for a Compliance Operations and Risk Consultant for its Cincinnati office. CSS is not a law firm and does not provide legal services. It supports advisers in the development and administration of their compliance programs. The Compliance ...
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📑 The San Francisco Regional Office of the U.S. Securities & Exchange Commission has openings for attorney positions within the Office of Compliance Inspections and Examinations (OCIE) staff. Candidates should have at least 1 year post J.D. experience as a practicing attorney or possess a L.L.M., the ability to perform compliance examinations of in ...
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📑 Securities and Capital Markets Associate AttorneyCompany name BCG Attorney Search Experience 2-7 yrs required Location Chicago, IL, United States Posted on Feb 15, 2024 Valid Through Mar 16, 2024 ProfileA law firm based in Chicago is seeking a Securities and Capital Markets Associate Attorney with strong transactional skills and experience in publi ...
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📑 Tony Saldana, General Counsel & Executive Vice President of Compliance Tony Saldana is the general counsel and executive vice president of compliance for Digital Media Solutions, Inc . In this role, Tonyleads the company’s global legal and compliance teams.DMS received a spot on Inc. magazine’s inaugural Best Led Companies list in 2021, recogni ...
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📑 If you are an internal associate, please login to Workday and apply through Jobs Hub.Job PurposeThe Associate General Counsel, Securities Disclosure & Reporting supports Jackson Financial Inc.on U.S. Securities and Exchange Commission (SEC) and the New York Stock Exchange (NYSE) disclosure and reporting matters. The Associate General Counsel, Secur ...
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📑 Job Location: New York City New York United States, 10118 An elite and leading international law firm with a office in New York City is experiencing growth. We are seeking an experienced Corporate/ Securities Associate with 3+ years of experience to join the team in the Manhattan, New York office. Our client is a law firm that is globally rec ...
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📑 Job DescriptionJob DescriptionAs a Senior Audit Manager at Rosenberg Rich Baker Berman, P.A. (RRBB, P.A.), you will use your experience and skills to manage the timely completion of audits for both public and private companies. At RRBB, P.A., we serve a wide range of businesses in different industries. You will apply your knowledge of each client’s ...
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📑 Together we fight for everyone’s opportunity for a better financial future.We will do this together — with customers, partners and colleagues. We will fight for others, not against: We will stand up for and champion everyone’s access to opportunities. The status quo is not good enough … we believe every individual and every community deserves acces ...
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📑 Senior Counsel, Governance TeamVanguard is a leading provider of financial products and services to individual and institutional investors world-wide. In addition, Vanguard is an employer of choice that continually invests in the growth, development, and success of its employees (crew members) over the course of their Vanguard careers. Vanguard’s O ...
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📑 Mid- to Senior-level Corporate and Securities Associate AttorneyCompany name BCG Attorney Search Experience 2-10 yrs required Posted on Nov 17, 2023 Valid Through Dec 17, 2023 ProfileA law firm in Baltimore, MD, is seeking a Mid- to Senior-level Corporate and Securities Associate Attorney with a focus on outstanding academic credentials and a minim ...
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