- ADP (Florham Park, NJ)
- …FOR THESE:** _Preferred Qualifications_ + Prior quota-carrying experience + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending appropriate licensing within the first 45 days of employment + Demonstrated ability to successfully build a network via social platforms + Experience with video… more
- 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
- NTT DATA North America (Charlotte, NC)
- …Duties and Responsibilities:** + Lead efforts to integrate FICC and Equities securities lending businesses. + Collaborate with technology and operations teams to ... ensure successful delivery of 2026 milestones. + Workstream Support - Margin Capabilities + Support build-out of a simplified margin settlement workflow leveraging Operational Payment Netting (OPN). + Coordinate enhancements to margin calculations and ensure… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and, in our clients', best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- S&P Global (Charlottesville, VA)
- …This position reports directly to the Associate General Counsel, Corporate & Securities , who reports to the Chief Legal Officer of Mobility. **Responsibilities and ... Impact:** The Assistant General Counsel, Employment is responsible for supporting a business of approximately $1.8 billion in revenue and 3,500 employees world-wide, providing legal and strategic counsel and risk management advice to senior leadership and… more
- 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
- Huntington National Bank (Grand Rapids, MI)
- …If applicable, registration and additional qualifications required. Preferred Qualifications: + Securities and life insurance licenses preferred but not required. + ... Demonstrated success working with high-net-worth clients. + Proven ability to build strong relationships with clients. + Excellent written and verbal communication skills. + Ability to multi-task. Exempt Status: (Yes = not eligible for overtime pay) (No =… more
- Citizens (Johnston, RI)
- …Products. + Completed high school degree or GED equivalent. Preferred Requirements: + Securities Licenses such as SIE, Series 7 or Series 63 highly preferred. + ... Demonstrated successful stable work history. + Completed associates and/or bachelors college degree preferred Hours & Work Schedule + Hours per Week: 40 + Work Schedule: + M-F: 8:30 AM ET - 5:00 PM ET; Occasional OT Optional + 100% in office. Once fully… more
- S&P Global (Centreville, VA)
- …to manage key compliance areas including Financial Crimes Monitoring, Securities Disclosure, Conflicts of Interest, Corporate Policies, Privacy, and Information ... & Data Governance + Monitor to ensure organizational conduct, systems, and decisions remain within legal, regulatory and ethical boundaries + Foster a culture of compliance and ethical behavior throughout the organization, including via employee training… more
- KeyBank (Cleveland, OH)
- …banking and risk management experience. + Advanced knowledge of Fixed Income securities . + Strong analytical, quantitative, and communication skills. + Ability to ... perform multiple tasks simultaneously to meet strict deadlines. + Ability to work independently and in a team environment in collaboration with other team members. + Microsoft Office tools COMPENSATION AND BENEFITS This position is eligible to earn a base… more