- CalSTRS (Sacramento, CA)
- …Partners with Administrative Services, Financial Services, Technology Services and General Counsel . Under the general direction of the Staff Services Manager ll, ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more
- DuPont (Carlsbad, CA)
- …final approval by DuPont's Board of Directors, receipt of tax opinion from counsel , the filing and effectiveness of Form 10 registration statements with the US ... Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of financing. _ _For further discussion of risks, uncertainties and… more
- Raymond James Financial, Inc. (Irvine, CA)
- …a Financial Advisor. Raymond James advisors provide sound financial advice and counsel consistent with our client's objectives, time horizon, and risk tolerance. AMP ... Experience** General Experience - 13 months to 3 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)… more
- TIAA (San Francisco, CA)
- …ideal candidate should have a keen understanding of CLOs, asset backed securities (ABS) and other securitized products, and possess excellent communication and ... innovations in the CLO market + Communicating with rating agencies, investors, counsel , arrangers on modeling and transaction execution + Utilizing and developing… more
- Western Digital (Sacramento, CA)
- …DC The position will report to the Vice President, Government Affairs, Securities and Corporate Governance. **Responsibilities** + Lead and grow a corporate ... Western Digital's positions on key issues + In close cooperation with legal counsel and the Ethics & Compliance team, identify and create policies and procedures… more
- DuPont (Carlsbad, CA)
- …final approval by DuPont's Board of Directors, receipt of tax opinion from counsel , the filing and effectiveness of Form 10 registration statements with the US ... Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of financing. _ _For further discussion of risks, uncertainties and… more
- DuPont (Sunnyvale, CA)
- …final approval by DuPont's Board of Directors, receipt of tax opinion from counsel , the filing and effectiveness of Form 10 registration statements with the US ... Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of financing. _ _For further discussion of risks, uncertainties and… more
- Raymond James Financial, Inc. (Pasadena, CA)
- …The Trainee will also provide clients with sound financial advice and counsel consistent with the client's objectives, time horizon, and risk tolerance. In ... Accounting, Bachelor's: Business Administration, Bachelor's: Finance **Work Experience** **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory… more
- MUFG (Menlo Park, CA)
- …internal credit approvals, documentation and closing without assistance or further counsel . + Collaborate with the portfolio team to actively manage the ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …rules and regulations of the Financial Industry Regulatory Authority ("FINRA"), Securities and Exchange Commission ("SEC"), and various state regulatory authorities. ... The role involves managing complex transactions, preparing financial statements, and providing guidance on accounting issues for Dunham. Essential Functions: + Technical Accounting: + Lead the technical accounting research and analysis of complex transactions.… more