- USAA (Plano, TX)
- …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. (Memphis, TN)
- …and responsibilities as assigned. **Knowledge, Skills, and Abilities** Knowledge of: * Securities trading, Rules and regulations of the Securities Exchange ... (SEC), and Financial Industry Regulatory Authority (FINRA) * Detailed knowledge of securities supervisory concepts, FINRA Rule 3110 and how it relates to Firm… 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
- TD Bank (San Francisco, CA)
- …**Summer Analyst Program - Investment Banking** **,** **Consumer (San Francisco)** TD Securities is a market leader in Capital Markets and Corporate & Investment ... makes Investment Banking right for you?** + Investment Banking at TD Securities offers the opportunity to gain extensive industry experience, develop long-lasting… more
- Vanguard (Malvern, PA)
- …of choice for the next generation of investors, your expertise in securities law and ERISA will be pivotal in driving compliant, forward-thinking solutions. ... training and experience. Law degree (JD) required. + Deep technical expertise securities law required, with an emphasis on providing interpretative advice under the… more
- TD Bank (Houston, TX)
- …**-** ** Investment Banking** **,** **Energy** **(** **Houston** **)** ** ** TD Securities is a market leader in Capital Markets and Corporate & Investment Banking, ... makes Investment Banking right for you? + Investment Banking at TD Securities offers the opportunity to gain extensive industry experience, develop long-lasting… more
- JPMorgan Chase (New York, NY)
- …in New York. + Prior experience at a firm in capital markets/ securities transactions or corporate field. + Reasonable comfort with mathematical and financial ... competing priorities and multiple assignments and clients. + Knowledge of Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940… more
- S&P Global (New York, NY)
- …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
- Thrivent Financial (Denver, CO)
- …of advice, insurance products, asset/wealth management, fee-based planning, mutual funds, and securities . + FINRA Series 7, 63/65 or 66 required or obtained within ... 90 days, Series 24 preferred. + State securities registered and insurance licensed and appointed in all...are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all… more
- Thrivent Financial (Atlanta, GA)
- …90 days of pay and coaching as you obtain the state insurance and securities licenses necessary for this position . Role Description As a Virtual Financial Advisor ... variable lines of authority or obtained within 90 days + Eligibility to be securities registered and insurance licensed in all 50 states + Sales experience +… more
Recent Jobs
-
Sr Account Technical Executive II
- Cadence Design Systems, Inc. (San Jose, CA)