- Stanford University (Stanford, CA)
- …Ensure timely disclosure of financial information to investors in Stanford's debt securities , and implement approved changes. Assist in monitoring the internal debt ... portfolio and the use of funds to ensure compliance with applicable regulations, liquidity requirements and financial covenants. Assist in managing compliance program for area of responsibility, interpret internal policy and external regulations, and create… more
- Wells Fargo (Los Angeles, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Obtaining ... and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. **Location:** + Los Angeles + Other West Coast Market locations may be considered **Pay Range** Reflected is the base… more
- Northrop Grumman (El Segundo, CA)
- …financial reporting data and analysis in support of the company's US Securities and Exchange Commission (SEC) disclosure requirements + Analyze sector-level and ... program balance sheet and P&L, including, but not limited to:program sales and operating margin fluctuations, home office transactions,accounting for non-routine transactions, analysis of significant balance sheet accounts, and other ad hoc analytical requests… more
- JPMorgan Chase (New York, NY)
- …broker-dealer and investment advisory matters. + Strong knowledge of federal and state securities laws and FINRA rules. + Proven ability to manage multiple issues in ... a fast-paced environment. + Skilled at understanding business needs and developing practical solutions. + Excellent verbal and written communication skills. + Licensed to practice law and a member in good standing in the relevant jurisdiction. All candidates… more
- JPMorgan Chase (San Francisco, CA)
- …with senior business and control partners + FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire ... **Preferred Qualifications, Capabilities and Skills** + Bachelor's degree and formal credit training preferred + Sales management and business development skills + Proficiency in building and maintaining positive client relationships + Strong creative solution… more
- MUFG (Washington, DC)
- …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
- Citigroup (New York, NY)
- Citigroup Global Markets Inc. is a global investment bank and securities brokerage firm that, along with its Citigroup affiliates, provides complete financial ... solutions to corporations, governments, institutions and individuals in 100 countries. The Equities business is seeking an Electronic Trading Product Manager at the Director level to build on and innovate Citi's electronic trading offering for key… more
- Siemens Energy (Raleigh, NC)
- …revenue recognition, invoicing and payment terms, maintenance of project costs, securities , taxes, and insurance requirements + Project Controlling, Forecasting and ... Reporting of financial status for portfolio of dedicated projects. + Partner with Technical Project Manager in project steering /contract negotiations, accounting, development of strategies or solutions. Support Project Managers to ensure project quality based… more
- State of Massachusetts (Boston, MA)
- …as the chief election officer, chief information officer, and chief securities regulator in Massachusetts. Additionally, the office is charged with registering ... business entities and lobbyists, distributing grants for historic preservation, safeguarding the state's public records and artifacts, and much more. Whatever your background or area of interest, there is a place for you at the Secretary of the Commonwealth's… more
- State of Massachusetts (Boston, MA)
- …as the chief election officer, chief information officer, and chief securities regulator in Massachusetts. Additionally, the office is charged with registering ... business entities and lobbyists, distributing grants for historic preservation, safeguarding the state's public records and artifacts, and much more. Whatever your background or area of interest, there is a place for you at the Secretary of the Commonwealth's… more