- Fifth Third Bank, NA (Cleveland, OH)
- …Support Specialist II provides office management support for registered securities representatives (eg, Investment Executives, or Wealth Management Advisors). ... products, compliance and operational duties. + Support multiple registered securities representatives or representatives with very large books of business.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …accordance with Firm policies, industry standards, and federal and state securities laws. + Establishes and maintains registration-related record keeping systems. + ... in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations. + Operates standard office equipment and uses… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $110,000 - $135,000 USD TD is committed to providing fair ... Markets Overview** The Global Capital Markets group at TD Securities is hiring for multiple analyst positions within: +...Capital Markets + Leveraged Finance and Private Credit TD Securities is a market leader in capital markets advisory… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …order to maintain favorable tax status in Global Markets. + Partner with Securities Lending Agent and/or Investment Advisor on global activity, such as shares ... causes for overdrafts and prepare claims to Investment Manager and/or Securities Lending agent as needed SUPERVISORY RESPONSIBILITIES: None. MINIMUM KNOWLEDGE,… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $200,000 - $200,000 USD TD is committed to providing fair ... Markets Documentation Team is an integral part of TD Securities . GMD is a client facing team responsible for...responsible for providing best-of-class service to clients of TD Securities and internal business partners by preparing and negotiating… more
- Insight Global (Boca Raton, FL)
- …Description We are seeking a part-time Paralegal with a strong focus on securities law filings. The ideal candidate will be highly organized, detail-oriented, and ... filings and related documentation. * Assist with compliance and reporting requirements under securities laws. * Maintain and update records in Carta and other equity… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $95,000 - $115,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** Preferred Qualifications: TD Securities ' Municipal Syndicate Operations Desk offers a unique opportunity to work… more
- JPMorgan Chase (New York, NY)
- …solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed ... businesses on all relevant legal and regulatory matters and relevant securities laws applicable to public and private offerings of securitizations, including,… more
- Thrivent Financial (Albert Lea, MN)
- …Thrivent Financial for 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
- Citigroup (Jersey City, NJ)
- …is to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Individual mapped to this job ... used to present information to management + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more