- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of the OneSource Tax Software. + Principles of banking, finance and securities industry operations. **Skill in** + Efficient utilization of OneSource tax software ... suite, RIA Checkpoint, Oracle and Hyperion financial accounting and reporting software + Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases +… 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
- Capital One (Charlotte, NC)
- …of the Audit team, the candidate will focus on operations of investment ( securities and transactions). Responsibilities: + Lead small audits, or own completion of ... significant components of larger audits. + Develop engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks. + Design and execute appropriate audit… more
- Capital One (Richmond, VA)
- …experience in Capital Markets, Accounting, Front Office, Trade Operations in fixed income securities , or a combination + 3+ years of experience with SQL, Python, or ... a similar programming language **At this time, Capital One will not sponsor a new applicant for employment authorization for this position.** The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this… 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
- Federal Reserve Bank (Cleveland, OH)
- …depository institutions. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted ... an offer of Bank employment, you should raise this issue with the recruiter for this posting. In addition, as a condition of employment, candidates must undergo a background check and will be tested for all controlled substances prohibited by federal law, to… more
- Equitable (Philadelphia, PA)
- …+ 80 branch offices * **Source** : https://equitable.com/careers-at-equitable/equitable-advisors Securities offered through Equitable Advisors, LLC (NY, NY ###), ... member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor. Annuity and insurance products offered through Equitable Network, LLC.… 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
- 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
- Equitable (New York, NY)
- …portfolios; ability to utilize relevant tools and techniques in managing clients' securities investments. **ABOUT EQUITABLE** At Equitable, we're a team committed to ... helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. At Equitable, we're a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and… more
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