• Director, Equity Derivatives Sales - North America

    Citigroup (New York, NY)
    …to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures as defined by your role ... which will be communicated to you + Obtain and maintain all registrations/licenses which are required for your role, within the appropriate timeframe + Appropriately assess risk when business decisions are made, demonstrating particular consideration for the… more
    Citigroup (01/08/26)
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  • Senior Compliance Analyst

    Janus Henderson Investors (Denver, CO)
    …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
    Janus Henderson Investors (01/08/26)
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  • KYC Periodic Review Analyst

    MUFG (Tempe, AZ)
    …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
    MUFG (01/08/26)
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  • Data Pipeline Developer, Assistant Vice President

    MUFG (Tampa, FL)
    …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
    MUFG (01/08/26)
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  • Personnel Security Specialist I Adjudicator

    Amentum (Springfield, VA)
    …shall include experience within one or more of the standard securities and/or intelligence fields eg, technical, physical, information, industrial, personnel and ... operational security. + Subject matter expertise and hands-on experience in one or more security and/or intelligence discipline and experience implementing complex government security and/or intelligence programs and policies is preferable. + Must be highly… more
    Amentum (01/08/26)
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  • Senior Capital Markets Middle Office Specialist

    Wells Fargo (Charlotte, NC)
    …check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. Employees support our focus on… more
    Wells Fargo (01/08/26)
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  • KYC Periodic Review AVP

    MUFG (Tempe, AZ)
    …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
    MUFG (01/08/26)
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  • Fund Administration Manager

    Manulife (Boston, MA)
    …custody initiatives such as: NAV Oversight, Distributions, SEC Yields, Distressed Securities , Closed-End Leverage, Fund Events and Oversight of Liquidity Facilities. ... + Lead TPS in the completion of cross functional projects to support overall business initiatives + Represent TPS and play an active role in various internal committees. + Coordinate the completion of quarterly Board of Trustees materials and/or presentations… more
    Manulife (01/08/26)
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  • Summer Analyst Program: Corporate…

    MUFG (Tempe, AZ)
    …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
    MUFG (01/08/26)
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  • VP Lead Investment Banker (Req. )

    Wells Fargo (New York, NY)
    …unit's risk appetite and all risk and compliance program requirements. Wells Fargo Securities , LLC seeks a **VP Lead Investment Banker** in New York, New York. ... **Job Role and Responsibility:** Execute capital markets and M&A transactions for our corporate clients. Present complex ideas and analyses to internal and external parties. Generate strategic content, including industry analysis and product-specific concepts.… more
    Wells Fargo (01/08/26)
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