• Corporate Paralegal

    Newegg Inc. (Diamond Bar, CA)
    …local regulations. Prepare and file compliance reports with regulatory bodies. Securities Filings: Help prepare and file required reports with regulatory agencies ... management, and compliance. - Strong understanding of corporate transactions and securities filings. - Proficiency in legal research and corporate record-keeping. -… more
    Newegg Inc. (01/16/26)
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  • Tailored Licensed Support Financial Advisor

    Edward Jones (Tempe, AZ)
    …states at the time of application.** + At least 3-5 years of securities industry experience as a Financial Advisor or equivalent position requiring extensive ... preferred. + Must be able to understand information about various securities , market conditions, industry trends, financial planning and relationship building +… more
    Edward Jones (01/16/26)
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  • Branch Complex Senior Manager

    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
    Wells Fargo (01/16/26)
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  • IT Help Desk & Desktop Support

    SMBC (New York, 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
    SMBC (01/16/26)
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  • Team-based Financial Advisor - Lake Effect…

    Thrivent Financial (Kalamazoo, MI)
    …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
    Thrivent Financial (01/16/26)
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  • Investment Officer I, Investment Services

    CalSTRS (Sacramento, CA)
    …such as Excel Visual Basics and Power BI + Experience with Investment Securities + Experience with US and Non-US corporate action processing + Experience with ... 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
    CalSTRS (01/16/26)
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  • Supervision Manager, Supervisory Solutions

    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
    Raymond James Financial, Inc. (01/16/26)
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  • Operational Services Associate

    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
    Amalgamated Bank (01/16/26)
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  • Jr Java Developer

    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
    SMBC (01/16/26)
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  • Senior Financial Exploitation Investigator…

    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
    Iowa Department of Administrative Services (01/16/26)
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