- SpaceX (Hawthorne, CA)
- …wide variety of complex legal and business issues. RESPONSIBILITIES: + Own securities law compliance, corporate governance matters, and board support + Modernize ... charters, and governance policies + Architect and implement compliance framework for securities laws and regulations (1933 Act, 1934 Act, Reg. D Offerings, Rule… more
- JPMorgan Chase (Tampa, FL)
- …your expertise in project management and client solutions shapes the future of Securities Services. At JPMorgan Chase, you'll work with a diverse client base and ... You'll manage events of moderate complexity, covering a wide range of Securities Services products and working with stakeholders across Asset Managers, Hedge Funds,… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate/Client reporting Associate to join our Client Reporting team. This role is responsible ... support tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies or procedures… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist/Client Reporting Analyst to join our Client Reporting team. This role is responsible ... lifecycle support initiatives and identify opportunity for process improvements within Securities Operations + Review and analyze basic or tactical functional… more
- 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
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