- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and other compliance issues involved with retail activity. * Principles of banking, finance , and securities industry operations * Rules and regulations of the ... concerns. * Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. * Interprets, applies... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA);… more
- Raymond James Financial, Inc. (NY)
- …and other compliance issues involved with retail activity. * Principles of banking, finance , and securities industry operations * Rules and regulations of the ... patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Some guidance... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA);… more
- Raymond James Financial, Inc. (NY)
- …regulatory agencies. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …other compliance issues involved with retail activity. * Principles of banking, finance , and securities industry operations **Skill in:** * Operating standard ... any disputes that may arise. * Monitors and keeps up-to-date with securities /advisory regulations and applies them accordingly. * Interprets, applies and recommends… more
- Raymond James Financial, Inc. (Memphis, TN)
- …and services. + Advanced investment concepts, practices and procedures used in the securities industry. + Principles of banking, finance , securities industry ... **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)… more
- University of Oregon (Eugene, OR)
- …a concentration in finance . The Oregon MBA program offers a specialization in finance and securities analysis, which is supported by the Cameron Center for ... Finance and Securities Analysis. The curriculum focuses on imparting an understanding of the principles that guide financial management, asset management, and… more
- Raymond James Financial, Inc. (MA)
- …administration process. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and ... financial advisory function and investment process. + Broad knowledge of Finance and Accounting. + Basic management and supervisory principles. **Skill in**… more
- Raymond James Financial, Inc. (Memphis, TN)
- …policies and procedures. + Investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... **Education** Bachelor's: Accounting (Required), Bachelor's: Business Administration (Required), Bachelor's: Finance (Required) **Work Experience** General Experience - 6 to… more
- Mizuho Corporate Bank (San Francisco, CA)
- …capital markets experience with a top tier global bank + Knowledge of corporate finance , securities , financial markets and risk & pricing analysis + Must have ... advisory, global capital markets, financial risk management, structured & syndicated finance , and other global products and services for existing and prospective… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Fundamental concepts of investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... No SIE not required **Education** Bachelor's: Accounting, Bachelor's: Economics, Bachelor's: Finance **Work Experience** General Experience - 3 to 6 years… more