- JPMorgan Chase (New York, NY)
- …+ Develop mathematical models for pricing and risk management of derivative securities within a quantitative library using C++ and Python programming languages. + ... Evaluate quantitative methodologies including identifying and monitoring model risks associated with derivative valuation models. + Build data-driven hedging strategies for Equity Derivative products + Implement data driven and AI based Equity Exotic tools… more
- T. Rowe Price (Owings Mills, MD)
- …designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for T. Rowe Price and its affiliated advisers, ... the TRP Fund complex, and various Fund Service Providers. The position provides the opportunity to leverage subject matter expertise of the Investment Adviser Act of 1940, as amended ("Advisers Act") and Investment Company Act of 1940, as amended ("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
- 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
- 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
- TD Bank (Boston, MA)
- …FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_ the good character, business reputation, qualifications and… more
- Raymond James Financial, Inc. (Chicago, IL)
- …Banking. * Fundamental investment concepts, practices and procedures used in the securities industry. * Financial markets and products. **Skill in** * Communicating ... effectively, both orally and in writing. * Analytical skills sufficient to assess and explain events in the market. * Problem solving. * Operating standard office equipment's and using required software applications, including Microsoft Office and established… more
- Citigroup (Jacksonville, FL)
- …related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and ... complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a rapport with clients; utilizes Salesforce regularly for communication of issues/tasks/opportunities. + Builds… more
- EquipmentShare (Chicago, IL)
- …quarterly and annual reporting filing requirements. + Ensure compliance with securities laws, tax regulations, and Company policies. + Provide employee support ... and coordinate communications regarding equity awards, policies, and tools. + Assist with external audits, vendor coordination, and execution of internal controls. + Support education initiatives to help employees understand the features of the Company's… more
- Hantz Group (Romeo, MI)
- …Vol Life, Flexible Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7, FINRA Series 66, State Life, ... Accident & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis. The Company does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex,… more