- Edward Jones (Davis, CA)
- …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 ... degree is strongly preferred or equivalent work-related experience within the securities /financial services industry + Financial services and/or sales experience +… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …of the** **Position:** The Private Bank Credit Production Manager manages securities -backed line of credit (SBLOC) and insurance-backed line of credit (IBLOC) ... in Business or related field + Minimum 1-3 years of banking or securities experience, including experience in brokerage statement or credit analysis + Financial… more
- Raymond James Financial, Inc. (Memphis, TN)
- …assigned. **Knowledge, Skills, and Abilities** **Knowledge of** + Commonly used securities industry practices and procedures. + Concepts, principles and practices of ... securities trading/sales. + Procedures for processing trades. + Market...experience in a sales or trading role within the securities or financial services industry. + OR ~ +… more
- USAA (Tampa, FL)
- …of other technical resources needed. + May fulfill the responsibilities of a securities principal: In conjunction and coordination with Securities Counsel and ... Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits. + Responsible for the resolution of complex operations issues and/or member escalations. + Maintains compliance with… more
- Raymond James Financial, Inc. (New York, NY)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations ... of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry +… more
- Citizens (Boston, MA)
- …experience in the RIA and Broker-Dealer space. + Thorough familiarity with federal securities laws, including the Securities Act of 1933, the Securities ... Exchange Act of 1934, the Investment Advisers Act of 1940, relevant portions of ERISA and its parallel provisions under the Internal Revenue Code, the Investment Company Act of 1940 and applicable FINRA rules. + Experience working with a range of issues… more
- Wells Fargo (Charlotte, NC)
- …to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required +...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- TD Bank (New York, NY)
- …FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- S&P Global (Chicago, IL)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- MUFG (New York, NY)
- …In-scope businesses include Government Bonds, Interest Rate Derivatives, Mortgages, Asset-backed Securities and Securities Financing. The candidate will assist ... 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