- JPMorgan Chase (Columbus, OH)
- …clients about JPMorgan products and valueadd resources + Work towards and obtain Securities Industry Essentials, Series 6 and Series 63 securities licenses ... problem solving skills + Attention to detail + Obtain Securities Industry Essentials, Series 6 and Series 63 ...Securities Industry Essentials, Series 6 and Series 63 securities licenses within 120 days of starting in position… more
- Edward Jones (St. Louis, MO)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... in the future (life, health and variable annuity) + 5+ years of securities industry experience as a Financial Advisor or a position supporting FA's requiring… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: ... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation… more
- MUFG (New York, NY)
- …Pensions, and others. Products and Asset classes include asset backed securities , agency mortgage securities , collateralized loan obligations, agency commercial ... 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… more
- Charles Schwab (Westlake, TX)
- …and secured loans. Post settlement, this position will be accountable for accurate securities pricing and data management within the Calypso / Adenza accounting and ... custodian banks to ensure accurate and timely settlement of large cash and securities transactions. + Lead ongoing internal audit reviews and update procedures. +… more
- JPMorgan Chase (Boston, MA)
- …**Job responsibilities** + Oversee the maintenance of accurate accounting and securities records for each fund administered, ensuring adherence to all prescribed ... fund accounting processes. + Investigate and resolve issues where accounting or securities transactions breach the validation tolerances of the JP Morgan system,… more
- Robert Half Legal (Cincinnati, OH)
- …role requires expertise in corporate law and investment-related legal matters, including securities law and private fund formation. The position offers an exciting ... private fund formation, and investment-related issues. * Ensure compliance with securities laws and oversee regulatory filings with relevant authorities. * Provide… more
- Aston Carter (Columbia, MD)
- Job Title: Securities Analyst IIJob Description Join our dynamic Securities Administration Services (SAS) group as a Securities Analyst II. You will be ... series across portfolios. + Maintain expertise in areas such as Collateral, Securities , Default, or Trust Administration. + Train junior staff and review their… more
- Robert Half Legal (Philadelphia, PA)
- Description Our Philadelphia based law firm is seeking a Corporate & Securities attorney with up to 8 years of experience. The role requires hands-on experience ... documents and overseeing deal teams. * Ensure compliance with securities laws and regulations, including those related to private...attorney, preferably with the Investment Funds or Corporate & Securities departments of a law firm. * Licensed to… more
- S&P Global (Boulder, CO)
- …+ Apply comprehensive credit knowledge to analyze complex bond securities , economic indicators, management structures, governance frameworks, and challenging ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to… more