- MUFG (Jersey City, NJ)
- …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
- Citigroup (New York, NY)
- …to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same ... + 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… more
- UGI Corporation (King Of Prussia, PA)
- …reporting requirements, including filing of UGI's periodic reports with the US Securities and Exchange Commission (SEC) on Forms 10-Q, 10-K and 8-K, preparation ... of quarterly and annual financial statements for UGI's non-SEC registrants, and preparation of annual benefit plan financial statements. Assure compliance of all such reports with US GAAP and SEC rules and regulations. Manage day-to-day interactions with… more
- Scotiabank (Dallas, TX)
- …global financial institution + Expert knowledge in regulatory compliance, securities & derivatives trading businesses, AML/ATF, Sanctions, OSFI guidelines. ... Location(s): Canada : Ontario : Toronto || United States : Texas : Dallas Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range… more
- Federal Reserve Bank (Cleveland, OH)
- …depository institutions. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted ... an offer of Bank employment, you should raise this issue with the recruiter for this posting. In addition, as a condition of employment, candidates must undergo a background check and will be tested for all controlled substances prohibited by federal law, to… more
- Edward Jones (St. Louis, MO)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview… more
- BlackRock (San Francisco, CA)
- …+ Develop alpha signals for trading baskets of stocks, bonds,commoditiesor alternative securities , either within an asset class or across asset class + Build ... tools,dataanalyticsandvisualizationstofacilitateand/or improve portfolio management,researchand/or discussions around discretionary fundamental investing + Implementoriginal financialinsightsinclient portfolios and models, using them todeliver investment… more
- MUFG (New York, NY)
- …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
- 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
- PennyMac (Westlake Village, CA)
- …required + Oracle ERP and EPM experience preferred + Experience in Mortgage-Backed Securities products such as Agency pool MBS, Agency CMOs, Agency IO, Non-Agency ... MBS/CMO, Private Securitizations/VIE + Experience in Derivatives instruments such as Futures & Options, MBS Options, Forwards commitment, Swaps, Rate Locks, and Total Return Swaps. Why You Should Join As one of the top mortgage lenders in the country, Pennymac… more