- Raymond James Financial, Inc. (Memphis, TN)
- …these OSJ locations. + Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. + Interprets, applies and recommends changes ... and regulations. + Investment concepts, practices and procedures used in the securities industry, financial markets and financial products. **Skill in** + Operating… more
- Amalgamated Bank (New York, NY)
- …as minimum balance threshold. + Ensure timely and accurate posting of all securities and cash related transactions. + Support DC37 and other benefit payments ... daily control reports including fail reports, overdraft reports, and cash and securities break reports. Ensure all breaks are addressed promptly and escalated early… more
- SMBC (Charlotte, NC)
- …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
- Iowa Department of Administrative Services (Des Moines, IA)
- …now recruiting a new member to join its team! The Division enforces the Iowa Securities Act to ensure a safe and efficient securities marketplace. Iowa law ... authorizes broker-dealers and investment advisors to notify the Division of suspected financial exploitation and, in some cases, requires this notification. We are looking for an investigator to help us protect Iowa's senior investors. This isn't just a desk… more
- Raymond James Financial, Inc. (Duluth, MN)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** + ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… more
- Bank of America (Paramus, NJ)
- …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66 Exams. Your SIE, Series 7 & 66 must be obtained within 120 days; (63 & 65 accepted, in lieu of 66, if… more
- Wells Fargo (Charlotte, NC)
- …of cash payments, customer service, funding operations, custodial operations, securities settlement services, asset servicing structured loan operations, general ... check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (Houston, TX)
- …accepted. + For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required + This ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Amentum (Herndon, VA)
- …will report to the Senior Vice President, Deputy General Counsel - Securities and Governance within the Legal Department. The Senior SEC/Governance Paralegal will ... CCGP Certification) + Minimum of eight years of relevant experience in SEC/ securities , corporate governance, and corporate secretary + Working with boards of… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… more