- Citigroup (Irving, TX)
- …laws that apply to Citi as a large US corporation with publicly issued securities . This role will provide legal advisory services in connection with maintaining and ... optimizing Citi's Financial Regulations Inventory and Non-Financial Regulations Inventory and its linkages to Citi's enterprise-wide risk management framework. **_Responsibilities_** + Review, assess and interpret Laws, Rules and Regulations (LRRs) applicable… more
- Kestra Financial (Columbia, MD)
- …Set up monthly Periodic Investment Plans (PIP) for clients. + Submit " Securities -Based Line of Credit" (SBLOC) applications. + Assist with Maryland 529 applications. ... + Annually process Required Minimum Distributions (RMD) Office Responsibilities + Answers phone calls + Greet public that comes into the office. + Schedule Appointments + Scan/Fax/Record all documents. + Sort Mail + Submit invoices outside of Advice Pay +… more
- JPMorgan Chase (New York, NY)
- …Bank (CIB) is a global leader in banking, payments, markets, and securities services, trusted by the world's most significant corporations, governments, and ... institutions. The Controls Organization, in collaboration with the business, oversees the CIB's risk and control environment, ensuring robust governance and risk management systems. As a Control Manager Vice President within the Commercial & Investment Bank,… more
- Two95 International Inc. (San Francisco, CA)
- …corresponding presentation/prospectus material, coordinated marketing for public private securities offerings, valuation analysis, business plans, and financial ... projections + Leverages Firm's capital markets, proprietary research and analytical capabilities to provide top-notch investment, risk advisory, merger & acquisition and capital markets services + Monitors relevant transactions, capital market trends, company… more
- FirstEnergy (Akron, OH)
- …reporting components of the Company's (and certain of its subsidiaries') securities filings, including 10-K, 10-Q, 8-K, proxy statement, registration statements, ... Section 16 filings, and support compliance with all applicable stock exchange requirements + Maintain secretarial team policies and procedures, including administration of the Company's Insider Trading Policy and Rule 10b-5 compliance, delegations of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …concepts and practices. + Principles of banking and finance and securities industry operations. **Skill in** + Analyzing financial information. + Performing ... mathematical calculations. + Operating standard office equipment and using required software applications, including word processing, spreadsheets and databases. + Preparing, processing and maintaining transaction documentation, files, and records. +… more
- Manulife (Boston, MA)
- …relations, or sales. + * Bachelor's Degree + * FINRA Licenses: Securities Industry Essentials (SIE), Series 7, Series 63/65/66. **Preferred Qualifications** + Solid ... understanding of capital markets and institutional channels (public plans, corporate retirement, endowments, insurance, sub-advisory). + Demonstrated success in sales prospecting and lead generation. + Exceptional interpersonal, presentation, and client-facing… more
- MUFG (Jersey City, NJ)
- …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
- Mizuho Corporate Bank (New York, NY)
- …regulatory change management + Product knowledge of Loans, Derivatives, Securities , and Repurchase Agreements + Strong business, analytical, quantitative, ... problem-solving and decision-making skills + Proven experience of team leadership, career development of others and developing individuals in the program and change management space + Exceptional stakeholder management skills including experience at performing… more
- DR Horton, Inc. (Arlington, TX)
- …strategic partnerships * Advise executive team on governance, fiduciary obligations, securities matters, and compliance with applicable laws and regulations * ... Oversee preparation, review, and accuracy of corporate disclosures and governance documentation * Direct all major litigation, arbitration, and dispute-resolution strategies, ensuring consistent and cost-effective case management * Dispense legal guidance to… more