- Janus Henderson Investors (Denver, CO)
- …filings and legal work related to these funds, including submission to the Securities and Exchange Commission. + Perform legal work related to creation and ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- Edward Jones (St. Louis, MO)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... of hire) + Life and Health Insurance license is required. + Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and… more
- Thrivent Financial (MN)
- …variable lines of authority or ob tained within 90 days . + State securities registered and insurance licensed and appointed in all states that comprise the group ... Once advisors are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where… more
- SMBC (Jersey City, NJ)
- …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
- Federal Reserve Bank (Philadelphia, PA)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... loan holding companies. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted an… more
- Thrivent Financial (Burnsville, 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
- 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 (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
- Thrivent Financial (Pittsburgh, PA)
- …situations). These licenses include: + Resident state Life, Health and Annuity + Securities Industry Essentials + Series 6/63 or 7/66 (7/63 and 65). After completing ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- Wells Fargo (Charlotte, NC)
- …hedging business of Wells Fargo Bank and its affiliates, including Wells Fargo Securities LLC. **In this role, you will:** + Provide legal advice and counsel ... loan trading (both par and distressed), secondary trading of distressed securities (including reorganized equity and bonds), corporate restructurings and related… more