- SupraNaturals, LLC (Springville, UT)
- …accounting principles issued by the Financial Accounting Standards Board, the Securities and Exchange Commission, other regulatory and advisory organizations and in ... accordance with financial management techniques and practices appropriate within the software industry and for newly public companies. ESSENTIAL DUTIES AND RESPONSIBILITIES : + Plan, develop, organize, implement, direct, and evaluate the organization's fiscal… more
- Auburn University (Auburn, AL)
- …,CFP , JD,CLU + Financial planning, law, accounting, estate planning, securities , investment Posting Detail Information **Salary Range** $91,550 - $228,040 **Job ... Category** Communications/Public Relations/Marketing **Working Hours if Non-Traditional** This role works days, nights, weekends, and involves frequent travel. **City position is located in:** Auburn **State position is located:** Alabama **List any hazardous… more
- PPL Corporation (Providence, RI)
- …Regulatory Commission (FERC) and appropriate state regulatory commissions), Securities and Exchange Commission (SEC) regulations, Generally Accepted Accounting ... Principles (GAAP). Sarbanes-Oxley (SOX) controls, and company policy and procedures. This role is a working supervisor. Responsibilities of the role include, but are not limited to, corporate accounting, treasury accounting, system administration for… more
- MUFG (New York, NY)
- …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
- Scotiabank (Dallas, TX)
- …business experience in capital markets, structured credit, or mortgage-backed securities . * Demonstrated systems knowledge and experience with technologies relevant ... to mortgage capital markets. * Proven critical thinking, continuous improvement, and transformation leadership, delivering high performance aligned to group and Bank strategic direction. * Track record of managing highly complex technology projects, including… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge of:** * Fundamental concepts, principles and practices of the securities industry and asset management products. * Broker/dealer operations. **Skill ... in:** * Identifying the needs of customers through effective questioning and listening techniques. * Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. * Preparing and… more
- Citigroup (New York, NY)
- …to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same ... + Adhere to all policies and procedures as defined by your role which will be communicated to you + Obtain and maintain all registrations/licenses which are required for your role, within the appropriate timeframe + Appropriately assess risk when business… 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
- JPMorgan Chase (New York, NY)
- …and collateral management processes + Oversee and direct pledge of CIO NA securities to various internal counterparties + Participate in firm relationships with the ... FRB Discount Window and Federal Home Loan Banks, staying apprised of reforms in the industry + Assist with and serve as a point of contact for intercompany and collateral related processes **Required qualifications, capabilities and skills:** + Degree in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …database is required. * General principles of banking and finance and securities industry operations is preferred. * Federal Reserve entity reporting requirements ... for a bank holding company (FRY-10, FRY-6) is preferred. * SEC Section 16 filing including Form ID, Form 3, Form 4, and Form 5 is preferred. **Skill in:** * Legal research and analyzing facts and information, and resolving problems as they arise * Corporate… more
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