- 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
- Wells Fargo (Charlotte, NC)
- …offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required + ... Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired.… more
- MUFG (Tempe, AZ)
- …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
- MUFG (Tempe, AZ)
- …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
- Insight Global (Tampa, FL)
- …Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. This person ensures that all retail ... communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- MUFG (Irving, TX)
- …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 (Denver, CO)
- …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
- Insight Global (New York, NY)
- …Bachelors Degree Leadership experience Voluntary Corporate Actions processing them Securities or financial services industry exp Management experience led a ... team DTC software exp SWIFT more