Remote Securities Regulation Jobs
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71 jobs:
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Director of Compliance
Director of Compliance
30+ days ago
Acorns
- Remote: United States
- Senior (5-10 years)
- 13 - 196K
Policy DevelopmentCompliance ManagementFinancial Industry Regulatory AuthoritiesSecurities RegulationStrategic Decision MakingRegulatory Compliance
Associate General Counsel Governance and Securities
Associate General Counsel Governance and Securities
10 day ago
Lumen Technologies
- Remote: United States
- Full time
Securities RegulationRegulatory ComplianceCorporate GovernanceCorporate GovernanceSec FilingCourt Experience
Manager, Compliance - Branch Exams
Manager, Compliance - Branch Exams
30+ days ago
Raymond James
- Remote: United States
- Full time
- Senior (5-10 years)
Securities RegulationFinancial MarketCompliance ManagementRegulatory ComplianceAnalytics
Senior Advisor, PCG Branch Exams
Senior Advisor, PCG Branch Exams
30+ days ago
Raymond James
- Remote: United States, Colorado (USA)
- Senior (5-10 years)
- 80 - 95K
Risk ManagementSecurities RegulationBank ComplianceProject ManagementCompliance ManagementRegulatory Compliance
Suitability Registered Principal
Suitability Registered Principal
Today
Guardian Life
- Remote: United States
- Full time
Compliance ManagementState LawsRiskmetricsFinancial RegulationsSecurities RegulationAnnuities
Director, SEC Reporting and Corporate Legal
Director, SEC Reporting and Corporate Legal
15 day ago
Dave
- Remote: United States
- Full time
Providing Legal AdviceSecurities RegulationCorporate GovernanceSec FilingInvestor RelationsCorporate Laws
Corporate Counsel
Corporate Counsel
30+ days ago
Figma
- Remote: United States, California (USA)
- Senior (5-10 years)
- 198 - 308K
Court ExperienceVenture CapitalMergers And AcquisitionsRegulatory ComplianceDrafting DocumentsCorporate Governance
Director, National Accounts
Director, National Accounts
30+ days ago
Meeder Investment Management
- Remote: United States, Ohio (USA)
- Senior (5-10 years)
Operational ExcellenceMicrosoft Dynamics CrmMarketingStatutory AccountsMbaasSecurities Regulation
Senior Advisor, Regulatory Risk/Gap - PCG Compliance Training and Education
Senior Advisor, Regulatory Risk/Gap - PCG Compliance Training and Education
30+ days ago
Raymond James
- Remote: United States
- Full time
- Mid-level (2-5 years)
Securities RegulationFinancial MarketCross Functional CollaborationOffice AppDecision AnalysisRegulatory Compliance
Senior Manager, Investor Relations & Corporate Communications
Senior Manager, Investor Relations & Corporate Communications
30+ days ago
Rocket Pharmaceuticals
- Remote: United States
- Senior (5-10 years)
- 138 - 158K
Content CreationInvestor RelationsProject ManagementCustomer EngagementBiotechnologyPharmaceuticals
Marketing Review Officer, Business Supervisory Office - Assistant Vice President
Marketing Review Officer, Business Supervisory Office - Assistant Vice President
30+ days ago
Deutsche Postbank Group
- Remote: United States, Florida (USA)
- Full time
- Expert & Leadership (>10 years)
- 46 - 110K
Risk ManagementFederal Reserve SystemDisciplinary ProceduresSecurities RegulationInternational MarketingRegulatory Compliance
Compliance Director- Financial Holding Company
Compliance Director- Financial Holding Company
30 day ago
Raymond James
- Remote: United States
- Expert & Leadership (>10 years)
- 130 - 140K
Regulatory ComplianceProject ManagementCompliance ManagementBank ComplianceFinancial LawCompliance Management
Senior Counsel - Indirect Procurement
Senior Counsel - Indirect Procurement
30+ days ago
AmerisourceBergen
- Remote: United States, Sudan, Georgia (country), Laos, China, Tunisia, Malta, Norway, Italy, Alabama (USA), Arizona (USA), California (USA), Colorado (USA), Connecticut (USA), Delaware (USA)
- Full time
- Senior (5-10 years)
- 121 - 186K
Legal KnowledgeProject ManagementContract ManagementCommercial LawsDigital File ManagementLegal Technology
SEC Regulations Analyst
SEC Regulations Analyst
30+ days ago
LexisNexis Risk Solutions
- Remote: United States, Georgia (country), District of Columbia (USA), North Carolina (USA), Ohio (USA), Pennsylvania (USA), Virginia (USA)
- Full time
Securities RegulationLegal ResearchAcademic WritingDigital File ManagementEmail Software
Senior Registrations Associate
Senior Registrations Associate
30+ days ago
Raymond James
- Remote: United States
- Full time
Securities RegulationFinancial AdvisingFinancial TradingFinancial RegulationsProject CollaborationFinancial Market
Advisor, Compliance – Third-Party Vendor Oversight
Advisor, Compliance – Third-Party Vendor Oversight
30+ days ago
Raymond James
- Remote: United States
- Full time
- Junior (1-2 years)
Securities RegulationFinancial MarketCompliance ManagementRegulatory ComplianceBank Compliance
SEC Regulations Analyst
SEC Regulations Analyst
30+ days ago
RELX
- Remote: United States, Georgia (country), District of Columbia (USA), North Carolina (USA), Ohio (USA), Pennsylvania (USA), Virginia (USA)
- Full time
Securities RegulationLegal ResearchAcademic WritingDigital File Management
Accounting and Financial Reporting Manager
Accounting and Financial Reporting Manager
30+ days ago
MNTN
- Remote: United States
- Senior (5-10 years)
Accounting SoftwareCorporate Financial ReportingAccount ReconciliationSap Concur Travel And Invoice SoftwareNetsuiteSarbanes Oxley Act Sox Compliance
Senior Legal Advisor
Senior Legal Advisor
30+ days ago
P2P.org
- Remote: European Union
- Senior (5-10 years)
Higher Education LawLegal ResearchContract ManagementIntellectual PropertyRisk ManagementCompany Structure
Registered Brokerage Client Service Associate (Support)
Registered Brokerage Client Service Associate (Support)
Popular!
30+ days ago
Alpaca
- Remote: Anywhere
- 1 - 13K
Client ServicesSecurities ResearchSecurities RegulationCode Of Federal RegulationsFinancial Regulations
Brokerage Client Service Associate
Brokerage Client Service Associate
30+ days ago
Alpaca
- Remote: Anywhere
- 1 - 1K
Client ServicesSecurities ResearchSecurities RegulationFinancial RegulationsCode Of Federal RegulationsProject Collaboration
