- Principal Financial Group (Addison, TX)
- …and manage systems to track multiple time sensitive deadlines and maintain electronic client files. + Communicate new account statuses, resolve client service ... 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
- Truist (Richmond, VA)
- …to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ... to Team Lead and/or Divisional Sales Management. + Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as… more
- TD Bank (New York, NY)
- …and topics, including operations, finance, regulatory reporting, and sales and trading , and prepare business personnel for meetings with regulators. + Communicate ... work independently + Ability to use personal computer for word processing and electronic filing and retrieval of documents. + Strong analytical skills and basic… more
- Raymond James Financial, Inc. (Hanover, NH)
- …securities industry. * Financial markets, products and industry regulations. * Trading terminology. * Client Relationship Management (CRM) software, or similar ... and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. * Analyze and research account… more