- Wells Fargo (New York, NY)
- …a law firm and/or in-house at a major financial institution. + Deep knowledge of US securities laws, including the Securities Act of 1933 and the Securities ... Familiarity with cross-border capital markets transactions and jurisdiction-specific requirements and securities regulations is a plus. + Experience working with or… 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
- Wells Fargo (Charlotte, NC)
- …and technical facts affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 ... Work within a contact center environment to execute and confirm routine securities transactions initiated by customers + Provide quality customer service addressing… more
- Raymond James Financial, Inc. (Southfield, MI)
- …financial planning and investment concepts, practices and procedures used in the securities industry + Principles of securities industry operations and financial ... for this role, they are highly beneficial and strongly encouraged: + Securities Industry Essentials (SIE) Exam + Financial Industry Regulatory Authority (FINRA)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and compliance guidelines. * Investment concepts, practices and procedures used in the securities industry. * Principles of banking and finance and securities ... with ten (10) years of management experience, and sales management experience in the securities industry required. OR * Master's Degree in a related field with a… more
- SMBC (White Plains, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Robert Half Legal (Buffalo, NY)
- …of experience handling private venture investments, mergers and acquisitions (M& A), securities law, and general corporate matters. This is an excellent opportunity ... * Advise clients on private venture investments, mergers and acquisitions, and securities law matters. * Draft, review, and negotiate a variety of contracts… more
- Thrivent Financial (Montgomeryville, PA)
- …Ability + Interpersonal Skills + Teamwork and Collaboration + Adaptability/Flexibility Requirements + Securities (Series 7 and 66 or Series 7, 63 and 65) and ... and Annuities registration + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. + 2+… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance. + Rules and regulations of the Securities ... Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. + Retail and clearing firm operations. +… more
- Post Holdings Inc. (St. Louis, MO)
- …and external counsel to support the Company's general corporate, M&A and securities needs. This position will be solutions-oriented, pragmatic and proactive in ... and subsidiary legal counsel on a variety of issues. SECURITIES MATTERS + Advise on federal securities laws, NYSE compliance and other corporate laws. + Review… more