- 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
- JPMorgan Chase (Plano, TX)
- …goals and is comprised of the Chase wealth management business, JP Morgan Securities and Online Investing - our digital investing platform. The combined business has ... ~$400 billion in assets under management and ~4,500 advisors who work out of 3,500 branches and 21 offices. Digital Product Strategy & Acceleration is part of the Product Acceleration Garage (PAG) in Wealth Management Product & Experience. This team takes new… 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
- 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
- Manulife (Boston, MA)
- …in phone and/or sales type roles. + A commitment to attain the Securities Industry Essentials, Series 6, 63 plus state insurance and variable licenses within ... 4 months of hire + Passion for growing a territory with a positive mindset + Excellent relationship building, communication, presentation and negotiation skills + Superior business acumen especially with retirement plan products and intermediary strategies +… more
- Southern States Cooperative, Inc (Owenton, KY)
- …Responsible for receipt, disbursement, banking, protection and custody of funds, securities , and financial instruments Implements policies and procedures for account ... collections and extension of credit to customers Counts material, equipment, merchandise, or supplies in stock and posts totals to inventory records Compares inventories to office records or computes figures from records such as sales orders, production… more
- Wells Fargo (New York, NY)
- …contexts. + Familiarity with cross-border transactions and jurisdiction-specific requirements and securities regulations is a plus. + Proven ability to manage ... outside counsel and collaborate effectively with Compliance, Risk, Conflicts, and business partners. + Demonstrated ability to collaborate effectively across teams and manage multiple priorities. + High level of responsiveness, commercial mindset, and ability… more
- Columbia Bank (Portland, OR)
- …of existing clients + Execute trades in individual equity and fixed income securities as directed by Portfolio Managers + Assist trust administrators and trust ... assistants with investment-related issues arising in trust accounts, including proposals for investment strategies, selection of mutual fund models, analysis of liquidity requirements, and other account-specific investment issues + Prepare investment reviews… more