- TD Bank (New York, NY)
- …FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_ the good character, business reputation, qualifications and… more
- Nuclear Regulatory Commission (Rockville, MD)
- …subject to Public Financial Disclosure Reporting requirements and NRC prohibited securities ownership restrictions. Selected candidate is required to file a Public ... Financial Disclosure Report (OGE Form 278) within 30 days after appointment The NRC provides reasonable accommodation to applicants with disabilities where appropriate. If you need a reasonable accommodation for any part of the application or hiring process,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* Knowledge of investment concepts, practices and procedures used in the securities industry, and terminology of financial markets and products. **Experience and ... Education:** * High School diploma and (9) nine plus years' experience in providing secretarial and administrative support to executives at a vice president/department head level. ~or~ * An equivalent combination of education, training or experience. more
- Principal Financial Group (Des Moines, IA)
- …arrangements, pension risk transfer, and/or employee stock ownership plans/employer securities is preferred. **Salary Range Information** Salary ranges below reflect ... targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on… more
- Wells Fargo (Minneapolis, MN)
- …For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. Designated insurance ... license requirements must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. **Pay Range** Reflected is the base pay… more
- Aegon Asset Management (Philadelphia, PA)
- …institutional investors. + Advise on applicable federal and state securities laws, insurance regulations, other cross-border regulatory frameworks (eg, EMIR, ... FCA), and other legal requirements affecting investment activities of Transamerica and its regulated affiliates. + Support internal governance processes related to investment approvals and risk oversight. + Provide advice on investment advisory, insurance… more
- BMO Financial Group (Chicago, IL)
- …quality of the data elements being reported. + Analyze data related to securities , derivatives, repos, and other trading products advising management of trends and ... any significant changes in the quantity and quality of the data elements being reported. + Participate in initiatives designed to improve existing processes or create new processes, and address changes to regulatory reporting requirements. + Perform prescribed… more
- TD Bank (Greenville, SC)
- …a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and… more
- Harbor Group Management (Norfolk, VA)
- …various requests from investors and external sponsors + Oversee tracking of securities documents and ensure placement with qualified custodians + Conduct quarterly ... and annual procedures to maintain custody compliance requirements + Assist in the documentation, updating, and creation of accounting/finance SOPs + Work on various special projects MINIMUM REQUIREMENTS: To perform this job successfully, an individual must be… more
- Charles Schwab (Lone Tree, CO)
- …the preparation of annual, quarterly, and other reports filed with the Securities and Exchange Commission (eg,10-Ks, 10-Qs, 8-Ks) for The Charles Schwab Corporation ... (NYSE: SCHW). The SEC Reporting group is also responsible for audited financial statements and other applicable external reporting requirements for applicable subsidiary entities, including Schwab's broker-dealer, banks, and international subsidiaries. The SEC… more
Recent Jobs
-
Utilization Management Appeals Nurse
- Humana (Columbia, SC)
-
HIV Customer Representative - Houston, TX
- Merck (Trenton, NJ)