- Thrivent Financial (Minneapolis, MN)
- …states that comprise the group area. + Once advisors are assigned to this position , this position will require securities registrations, state insurance ... management, teaming, succession, advice, and balanced sales growth. This position will also work closely with other distribution teams...or ob tained within 90 days . + State securities registered and insurance licensed and appointed in all… more
- Wells Fargo (Charlotte, NC)
- …of books and records vs the Options Clearing Corporation including trades, positions , and cash + Perform Exercise and Assignment processes including daily and ... Ability to work additional hours as needed + This position is not eligible for Visa sponsorship **Posting Location:**...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- PCL Construction (Irvine, CA)
- …achieving results. * Proactively monitors project and district receivables and cash position . * Leads efforts with operations to develop mitigation strategies for ... effectively. * Evaluate and ensure insurance, bonding, and other performance securities are being met to satisfy contract and corporate requirements. **Financial… more
- Janus Henderson Investors (New York, NY)
- …professional to lead strategy and execution for residential mortgage-backed securities (MBS) portfolios. This role emphasizes asset selection, risk oversight, ... and performance optimization, all within the framework of regulatory compliance and client mandates. + Design and implement investment strategies for agency and… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and ... the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Citigroup (Tampa, FL)
- **The Security & Derivatives Sr Analyst is an intermediate level position responsible for leading a team and processing transactions originating from trust ... the Team to facilitate the clearance, settlement and investigation of client securities and derivatives transactions.** **Facts** : + Issuer Services Ops Tampa Hub… more
- Federal Reserve Bank (Chicago, IL)
- …Jira. **What we offer:** + The expected starting salary range for this position is between $156,100 and $184,700 annually in addition to annual performance-based ... the need for visa sponsorship now or in the future.** + This position has additional screening requirements due to the information accessed while performing the… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Thrivent Financial (Houston, TX)
- …financial advisor on teams . + Once financial advisors are assigned to this position , this position will require securities registrations, state insurance ... authority or at tained within 90 days . State securities registered and insurance licensed and appointed in all...that are assigned. + Satisfactory background check and clean compliance record. + Flexibility to travel within the area… more
- JPMorgan Chase (Redwood City, CA)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...a condition of employment FEDERAL DEPOSIT INSURANCE ACT: This position is subject to Section 19 of the Federal… more