- Wells Fargo (Los Angeles, CA)
- …strategies for clients, pulling market and industry research, and completing a trading simulation within Investment Banking Mid-Year Program + Review strategies for ... FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be completed within...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Raymond James Financial, Inc. (San Diego, CA)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… more
- Principal Financial Group (Los Angeles, CA)
- …retirement industry experience + Must become an associated person of Principal Securities , Inc + Qualified Plan knowledge and unbundled experience strongly preferred ... Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may… more
- Nuveen Investments (San Francisco, CA)
- …that has a cycle-tested track record of managing CLOs and investing in CLO securities . Responsibilities will cover a wide range of tasks, from liaising with clients ... partners: Partnering with technology, compliance, legal, operations, portfolio management, trading , and other internal partners to evaluate and enhance client… more
- Wells Fargo (Los Angeles, CA)
- …investment banking, equity and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (Los Angeles, CA)
- …investment banking, equity and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- PennyMac (Westlake Village, CA)
- …ongoing support of the suite of applications that would help manage pricing, trading , hedging, pooling and shipping or other functions depending on the department. ... software + Financial services experience, especially related to mortgages and mortgage backed securities , is desirable Why You Should Join As one of the top mortgage… more
- MUFG (San Francisco, CA)
- …Finance & Direct Lending **Global Markets:** Sales & Trading **View information about our placements groups here ... 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
- MUFG (Los Angeles, CA)
- …of risk assets and effectiveness of the Bank's processes to control credit, trading , and associated concentration risks of a complex nature. In addition, you will ... 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
- Snap Inc. (San Francisco, CA)
- …16 filings, and assist with Snap's stock plan administration and insider trading prevention program + Coordinate and prepare board meeting materials for domestic ... review, integration, closing mechanics, and monitoring + Assist with other securities and NYSE requirements, including Snap's Quarterly and Annual reports, Form… more