- Wells Fargo (Davidson, NC)
- …For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite isrequired. Designated insurance license ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- NVIDIA (Santa Clara, CA)
- …handling regulatory matters such as antitrust, foreign direct investment, and securities laws. This position also demands experience collaborating with senior ... on strategic investments in private and public companies, including SAFEs, debt/equity securities , and registered investments in public companies + Review and draft… more
- CPM Holdings, Inc. (Waterloo, IA)
- …innovative organic growth and strategic acquisitions. CPM is owned by American Securities , a leading US private equity firm that invests in market-leading North ... million to $2 billion and/or $50 million to $200 million of EBITDA. American Securities is based in New York with an office in Shanghai. Their investment philosophy… more
- JPMorgan Chase (New York, NY)
- …is a global leader across investment banking, payments, markets and securities services. The world's most important corporations, governments and institutions ... the world. **Group Overview:** **Markets** is comprised of the world's leading securities and derivatives sales, trading and research groups. Our professionals are… more
- Wells Fargo (Charlotte, NC)
- …offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required + ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- CalSTRS (Sacramento, CA)
- …asset types that will invest in a diversified portfolio of strategies and securities utilizing a mixture of both internal and external management. The unit will ... of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700)… more
- TEKsystems (Charlotte, NC)
- …to join our team and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely with other ... limited to: Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors First line supervisory responsibility to conduct… more
- TD Bank (Portland, ME)
- …an integrated wealth business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance regulatory requirements and ... securities regulatory requirements for activities involving the recommendation or sale of non-deposit investment products (NDIP) to retail bank customers is… more
- Thrivent Financial (Rochester, MN)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- Bank of America (Addison, TX)
- …Fund companies and 15 Alternative Investment representing over 40,000 unique securities ** **Responsible for the oversight of ~$30 billion in dividend distributions, ... over $100 million, annually** **Support for more than 10,000 Private Bank securities amounting to over $2.5 billion, annually** **Timely resolution of discrepancies… more