- 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
- PNC (Philadelphia, PA)
- …support investment advisory subsidiaries of PNC that are registered with the US Securities and Exchange Commission (SEC). Your primary role will be to support and ... legal and financial requirements. Ideal candidates bring some experience in securities law, governance requirements and corporate compliance, along with a… more
- S&P Global (Boulder, CO)
- …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 (Boulder, CO)
- …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 (Dallas, TX)
- …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
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $110,000 - $130,000 USD TD is committed to providing fair ... that support the Payments and Deposit Services of TD Securities . Our mission is 'To Deliver World Class Service'...knowledge of PowerPoint and Word **Who We Are** TD Securities offers a wide range of capital markets products… 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
- Thrivent Financial (Bellevue, WA)
- …Time Off + 401(k) with employer match Position Requirements: + Must be fully Licensed: Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65); Life, ... of Investigation for review against nationwide fingerprint records. All persons with securities registrations are subject to TIMI's Outside Securities Accounts… 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