- Robert Half Legal (Wheaton, IL)
- …address inquiries and resolve issues promptly. * Provide support for M& A, securities , and corporate divorce transactions as needed. The pay range for this position ... is 25 to 32. Benefits available to contract/contract professionals, include medical, vision, dental, and life and disability insurance. Hired contract/contract professionals are also eligible to enroll in our company 401(k) plan. Visit… more
- Executive Office for US Attorneys and the Office of the US… (San Francisco, CA)
- …complex fraud and/or corruption in government, health care, banking, securities , corporate activities, federal procurement, bankruptcies, and federal taxation. They ... will also work with law enforcement agencies to investigate such crimes, research and brief legal issues, and represent the United States in hearings, trials, and appeals. Day-to-day responsibilities include working with law enforcement agencies and others to… more
- Bank of America (Palo Alto, CA)
- …and appropriately delegating team work. **Required Qualifications:** + Currently hold FINRA Securities Industry Essentials (SIE), Series 7 and Series 66 (or Series ... 63 and 65), Series 9 and 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum of five years of professional experience **Skills:** + Compensation Analysis + Performance Management + Process Performance Management + Referral… more
- Raymond James Financial, Inc. (Memphis, TN)
- …63, 65 and/or 66 as required by state. + Ability to obtain additional securities and advisory state registrations if required by state. **Travel Required:** Yes, 25 ... + Manage budget plans for a department. May involve development or delivery or both. + Lead the review of existing operations and the implementation of innovation processes across the division or function to ensure the required continuous improvement outcomes… more
- Edward Jones (Mountain View, CA)
- …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
- Robert Half Legal (San Diego, CA)
- …of research & writing is expected. Ancillary duties related to M& A, securities , and corporate governance may be assigned occasionally. However, someone who likes to ... put their head down and crank out contracts will be best for this position. Team: + This in-house counsel will report directly to the General Counsel, and have hands-on interaction/feedback. + Four other attorneys and ten other support staff work in the legal… 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
- Truist (Mclean, VA)
- …* FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance ... licenses. Ensures that appropriate continuing education requirements are met where needed * 8 or more years of sales and client management experience in Wealth Management and a demonstrated ability to manage a portfolio of high net and ultra-high net worth… more
- Leaffilter (Toledo, OH)
- …+ Experience with mergers and acquisitions, joint ventures, joint developments, securities and compliance. Key Competencies: + Adapting to and managing change. ... + Strategic alignment and inspiring others. + Communicating and building relationships. + Business acumen and cross-functional knowledge. + Achieving results. Travel Requirements: + Occasional overnight travel is required. Overtime/Additional Hours… more
- PSEG (Newark, NJ)
- …a range of substantive experience including commercial, tort, privacy, securities , personal injury, environmental, construction and class action litigation ... experience, with large exposure/liabilities and favorable outcomes. + Experience with government investigations and in-house experience is preferred but not required. + Demonstrated ability to think strategically and creatively to solve complex legal… more