- Jack Henry & Associates (Lenexa, KS)
- …employment matters, cyber security and privacy, corporate governance and securities , regulatory compliance, and intellectual property. This role will have ... the opportunity to experience a wide range of legal topics and tasks. This position can be based to work out of the following locations: Lenexa, KS; and Springfield/Monett, MO. This is a hybrid position that requires you to come to the office approximately… more
- Wells Fargo (New York, NY)
- …check. Internal transfers are subject to compliance with 17 CFR 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. **Pay Range** Reflected is the… more
- Robert Half Finance & Accounting (New York, NY)
- …Listed derivative for various trading desks including Rates, Credit, Treasury, Securities , etc. + Co-ordinating internally and externally to ensure Electronic and ... Paper trade confirmations are executed in a timely manner + Oversee the regulatory reporting of derivatives across different jurisdictions + Monitoring of daily listed trading activity across all Futures Clearing Merchants + Provide insight of trading activity… more
- TEKsystems (Denver, CO)
- …empathy & patience + Must be willing to study for and pass the SIE ( Securities Industry Essentials)* Exam to qualify for permanent hire + High school diploma or ... equivalent required; college degrees preferred *Note: Candidates must be willing to study for and pass the SIE exam during the assignment. Study time will occur outside of regular work hours and is unpaid. The company will provide and cover the cost of exam… more
- Canandaigua National Bank & Trust (Syracuse, NY)
- …open brokerage and advisory accounts as well as processing buy and sell orders of securities held by clients of the bank. + Works to resolve product or service ... issues for new and existing clients to ensure customer satisfaction. + Develops and/or expands customer/bank relationship for existing book of business by cross-selling additional assigned products and services through in-person meetings, written… more
- KeyBank (Brooklyn, OH)
- …requirements. - Retirement accounts including contribution, distributions and RMD calculations. Securities , Bonds, Annuity in addition to Mutual Fund classes and fee ... structures. - Series 7 and Series 63 required. Life & Health insurance license and Series 66 preferred. - Strong written and verbal communication. - Excellent customer service and analytical skills. - Ability to recognize and understand client issues and… 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
- UMB Bank (Chadds Ford, PA)
- …schedules to support yearend audits and financial statement preparation. Price securities , as required, in accordance with the fund's Offering Memorandum (OM). ... Identify, investigate, and report pricing issues to Senior Fund Accountant, Lead Fund Accountant, and/or Manager. Reconcile accounts and resolve all exceptions on a daily, weekly, and monthly basis. Report information to clients, brokers, and accounting… more
- MUFG (Los Angeles, CA)
- …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
- Launch That (Orlando, FL)
- …Required, but Strongly Preferred: + A license in insurance sales and/or securities (Series 6/7). + Experience in Insurance Sales or Insurance Marketing Organizations ... (IMOs). Why Work @ Launch That? We are a powerhouse of nearly 100 digital, tech, and creative professionals in the heart of downtown Orlando where we invest in ourselves and our community. Our vision is to be the answers and experts for life's critical… more
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