- Raymond James Financial, Inc. (St. Petersburg, FL)
- …services environment. * Investment concepts, practices and procedures used in the securities industry. * Principles of banking and finance and securities ... all organizational levels, and with all levels of expertise in the securities industry, to accomplish objectives. * Effectively address concerns or challenging… more
- Thrivent Financial (Newbury Park, CA)
- …+ Adaptable and flexible , thriving in changing or fast-paced environments Requirements + Securities (Series 7 and 66 or Series 7, 63 and 65) and resident state ... and Annuities registration + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. +… more
- KeyBank (New York, NY)
- …analyses of an assigned industry group, individual companies, and their securities . **Essential Functions** + Collecting, evaluating, and applying statistical and ... decision making processes. + Formulating and issuing opinions and recommendations on securities and companies in one or more industry groups. + Preparing reports,… more
- JPMorgan Chase (Newark, DE)
- …for the processing of global income and Corporate Actions events across multiple securities types, including equities and fixed income products held by the firm and ... Action events (voluntary and mandatory) for assigned markets and securities types, ensuring accuracy and timeliness + Act as...+ 1-3 years of experience in asset servicing or securities operations preferred. Final Job Grade and officer title… 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
- S&P Global (Princeton, NJ)
- …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
- 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
- Robert Half Legal (Seattle, WA)
- …legal guidance on corporate matters, including governance, mergers and acquisitions, and securities law compliance. * Draft, review, and negotiate a variety of ... and agreements. * Ensure adherence to state and federal laws, including securities regulations. * Collaborate with external legal counsel and manage communications… more
- Wells Fargo (New York, NY)
- …is seeking a Front Office Equities Quant - Executive Director (Senior Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking as part of ... questions about deployed models. **Required Qualifications:** + 7+ years of Securities Quantitative Analytics experience, or equivalent demonstrated through one or a… more
- JPMorgan Chase (Columbus, OH)
- …in team leadership and people management + 7 years of experience in the securities or investment industry + Advanced knowledge of securities industry rules, ... + Bachelor's degree or equivalent experience in a directly related securities industry position Preferred Qualifications, Capabilities, and Skills + Experience in… more