- US Bank (Atlanta, GA)
- …and regulations (eg, Broker Dealer, Trust Services, Wealth Management, Securities and Exchange Commission (SEC) Regulations, Financial Industry Regulatory Authority ... (FINRA) Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer, Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 Regulation, Investments, Wealth… more
- Robert Half Finance & Accounting (Chicago, IL)
- …and maintain reference data within the security master application for all securities /contracts applicable to the middle market direct lending strategy - Review ... transaction documentation to ensure completeness and accuracy within the loan systems. * Ensure all loans are rolled and correct rates are set for the next accrual period * Serve as bridge between Loan Operations (upstream) and Finance/Accounting (downstream)… more
- Charles Schwab (Westlake, TX)
- …and regulations to inform, develop and evolve programs to meet Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Federal ... Reserve Bank (FRB), and other regulatory requirements and expectations. + Cultivating relationships with Compliance Leadership and key stakeholders across Corporate Risk Management, Business, Legal and Internal Audit to partner, communicate, and report… more
- KeyBank (Brooklyn, OH)
- …priorities in a regulated environment + Basic knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and ... state regulatory requirements, investment products, and financial markets + Documenting findings and communicating risks through clear, concise reports. + Applying sound judgment in evaluating complex compliance scenarios. + Proactively identifying risk trends… more
- First Horizon Bank (Brentwood, TN)
- …Proficiency in Microsoft Office applications (Word and Excel) a must + Preferred Trust/ Securities and processing experience + Must be highly detailed oriented + Must ... be able to prioritize, manage time, finish projects timely, and complete daily tasks with little or limited supervision + Must have good oral & written skills and ability to communicate well with clients & co-workers + The ability to work as a team member +… more
- JPMorgan Chase (Milwaukee, WI)
- …business judgment with the ability to multitask + FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire ... **Preferred Qualifications, Capabilities and Skills** + Bachelor's degree and formal credit training preferred + Strong technology experience; digital background preferred + Excellent organizational, influencing and interpersonal skills + Self-directed,… more
- Wells Fargo (Chapel Hill, NC)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. State Insurance ... license(s) are required for this role and must be completed within a specified period of time determined by the required number of licenses to be obtained and will be communicated to the candidate upon offer acceptance + This position requires SAFE… more
- City National Bank (Beverly Hills, CA)
- …management and CNS Brokerage statements with clients. Partner with City National Securities (CNS) Investment Officer (IO) to communicate with clients about current ... conditions in the financial markets, investment alternatives, asset allocation and review asset management and brokerage account statements with clients. Discuss changes to strategies with the CNS IO. * Keep current on client's financial information while… more
- Ball Corporation (Westminster, CO)
- …accordance with generally accepted accounting principles, which are provided to the Securities and Exchange Commission (SEC), other third parties and management. You ... will be responsible for the statement of cash flows and underlying processes. This team will be responsible for leading the design and effectiveness of internal controls over financial reporting in respective areas of responsibility. This team will also assist… more
- Federal Reserve Bank (San Francisco, CA)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... affiliates, such as bank holding companies and savings and loan holding companies. Employees in the S+C group also must ensure there are no conflicts of interest related to their previous employment and current financial interests. S+C employees may be subject… more
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