- TD Bank (Mount Laurel, NJ)
- …clients of TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities (TD Bank ... who are part of the client-facing Distribution teams are both securities -registered and insurance-licensed. Additionally, the Trust Advisors support both personal… more
- JPMorgan Chase (Jersey City, NJ)
- …leadership, and the opportunity to make a meaningful impact on our Securities Services business. You'll collaborate with talented professionals and benefit from ... strategic thinking, and continuous improvement. As a Control Manager in the Securities Services Operations Control Management team, you will play a key role… more
- Thrivent Financial (Hummelstown, PA)
- …for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and ... or information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (eg conducting due… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …that may arise. * Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. * Interprets, applies and recommends changes ... practices, procedures, and methods. * Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $135,000 - $170,000 USD TD is committed to providing fair ... VP, US Finance, US wholesale corporate accounting **Business Unit:** TD Securities **Division/Region:** TD Securities USA (New York) **Report Location:**… more
- Bloomberg (New York, NY)
- …that forecast cash flows for a variety of Agency, Non-Agency and ABS securities , produce valuation metrics used to determine relative value, and develop risk ... include the development of a new prepay/credit model for securities backed by home equity lines of credit (HELOC)...RFR market model for use in valuing US mortgage-backed securities + Work collaboratively with team members to develop… more
- ADP (El Paso, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, plan ... as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry Essentials **(can be obtained after being hired into the… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $115,000 - $135,000 USD TD is committed to providing fair ... Preferred Qualifications: **Ready to be the Change at TD Securities ?** We are innovators and leaders in the change...key strategic initiatives to support delivery excellence across TD Securities . Our team plays a critical role in bridging… more
- ServiceNow, Inc. (Denver, CO)
- …and M&A Legal. **Responsibilities** + Advise on public company and corporate securities law matters and related compliance, including SEC reporting, NYSE compliance ... initiatives + Monitor and advise on potential impact of new and proposed securities laws and regulations, NYSE rule changes, proxy advisor guidance and developments… more
- Raymond James Financial, Inc. (Denver, CO)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: ... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation… more