- 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
- 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
- Citigroup (New York, NY)
- …corporate clients, capital markets products, derivatives, credit, cash management, trade, finance and securities products + Series 7, 79 and 63 within 90 days of ... joining **Education:** + Bachelor's degree/University degree or equivalent experience + Master's degree preferred This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required. **Job… more
- Federal Aviation Administration (Salt Lake City, UT)
- …employees, their spouses and minor children may not hold stock or any other securities interest in an airline, aircraft manufacturing company, or in a supplier of ... components of parts to an aircraft manufacturing company. This prohibition is effective on the date of your appointment. Your acceptance of the agency's Final Offer means you agree to comply with this prohibition. Questions may be directed to an agency ethics… more
- Truist (Orlando, FL)
- …commercial real estate, yacht/airplane financing, concentrated stock/highly structured securities -backed and unsecured facilities. + Drive new business generation ... and manage credit pipeline for all new and increased loan requests + Balance risk-reward expectations to meet client needs and the revenue and asset quality expectations of the bank + Prepare deal sheet memorandum for business-purpose (ie wholesale) loan… more
- JPMorgan Chase (San Francisco, CA)
- …team environment to deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7, and FINRA Series 66 (or ... 63 and 65) are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 150 days of hire, with study materials and support provided. **Preferred qualifications, capabilities, and skills** + Hold a… more
- Janus Henderson Investors (New York, NY)
- …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
- BMO Financial Group (NE)
- …Authority to impact Investment Advice in accordance with the BIS offer and applicable securities regulations + This role has direct impact on the achievement of key ... business unit objectives **Knowledge and Skills** + University Degree with a minimum of 3-5 years of financial industry experience + Series 7 and 66 or (7, 63 and 65) and insurance licenses (life and health) + U4 clear background check requirements +… more
- JPMorgan Chase (Boston, MA)
- …for our clients across a range of products, including but not limited to Listed Securities , Cash, ETDs, OTCs, Repos, Bank Loans and CFDs. IMOS deals with all stages ... of the lifecycle for each product from broker matching, management of the client's custodial network, lifecycle events including corporate events, ensuring timely settlement of trades and cash, management of claims and overdrafts, client / regulatory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to all rules, regulations, policies and standards that govern the firm and the securities industry. Positions in Compliance cover a wide range of roles such as ... auditing and educating branches, anti-money laundering review, responding to complaint and regulatory inquiries, establishing and monitoring control mechanisms, and registering firm representatives. **Internship Program Overview** Raymond James is the place… more