- Teradyne (North Reading, MA)
- …and compliance issues related to M&A activity, including antitrust, securities law, and international regulations. + Support post-closing integration activities ... to ensure seamless execution and value realization. + Support general corporate governance other legal matters as needed. Qualifications: + JD from an accredited law school, with excellent academic credentials. + Licensed attorney in good standing in the… 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
- Citigroup (New Castle, DE)
- …Citi Treasury's global government, government-backed/agency and government-backed mortgage securities portfolios and primary responsibility for interest rate risk ... positioning. Within RPM, Central Funding Desk (CFD) is responsible for executing daily funding trades to transfer cash and liquidity between different legal entities. The desk also manages third party derivatives execution to reduce the firm's USD interest… more
- Principal Financial Group (Des Moines, IA)
- …obtain information, execute routine transactions and resolve problems. + Establish new securities , compliance rules, new accounts, and or new reports to ensure ... readiness for trading, reconciliation, settlement and/or the client reporting process. Identify and resolve issues associated with client data, trade breaks, reconciliation breaks, and/or compliance breaches. Prepare reports and maintain controls in alignment… more
- Hawaiian Electric (Honolulu, HI)
- …employment law, environmental regulation, real property, construction law, securities , finance, compensation and benefits, legislation, litigation, intellectual ... property, information technology, telecommunications, privacy and data protection law; develop preventative law programs including training to assist operational managers and their staffs in the handling of their work; advise officers, managers and employees… more
- Janus Henderson Investors (Denver, CO)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- Janus Henderson Investors (Denver, CO)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- JPMorgan Chase (New York, NY)
- …assess model behavior and suitability of pricing models/engines for Mortgage-Backed Securities and other securitization products + Guide on model usage and ... act as first point of contact for the business on all new models and changes to existing models + Develop and implement alternative model benchmarks and compare the outcome of various models; Design model performance metrics + Liaises with model developers,… more
- JPMorgan Chase (Brooklyn, NY)
- …These submissions provide detailed data on pre-provision net revenue (PPNR), loans, securities , trading and counterparty risk, as well as losses related to ... operational-risk events and business plan changes, assisting external regulators in assessing the Firm's capital adequacy. **Job responsibilities:** + Aggregate, collect and submit FR Y-14 schedule submissions from various groups within the Firm + Review FR… more
- The Hartford (Wayne, PA)
- …help achieve sales/firm objectives + Comply with all rules and regulations of selling securities as outlined by FINRA and SEC as well as any established internal ... guidelines + Must be able to travel in assigned territory as required. Qualifications: + Bachelor's degree or equivalent experience required + NASD Series 7 and 63 or 66 licenses required + Minimum required 2+ years of sales experience, preferably in the… more