- 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
- CalSTRS (Sacramento, CA)
- …divisions or serve the total fund including Treasury Inflation Protected Securities (TIPS), Long Duration Treasuries, Cash Management, Reverse Repo execution, and ... 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …uses knowledge and skills, obtained through education and/or RIA and securities industry experience, training and/or certification, to assist with creating and ... and supporting functions. + Fundamental concepts, practices and procedures of securities industry and/or banking compliance reviews. + Inherent risks associated with… more
- MyFlorida (Tampa, FL)
- …relating to financial institutions, financial services companies, insurance companies, securities dealers or investment advisers, mortgage brokers or lenders, or ... auditing financial data within the consumer finance, banking, insurance, or securities industry, supervision of consumer finance industry personnel or regulations of… more
- Deloitte (Princeton, NJ)
- …and information barriers solutions + Knowledge of relevant financial and securities regulations (market abuse, insider trading, information barriers) - US and ... working knowledge of a range of financial services and / or securities -related business models, products, and services particular to the applicable industry,… more
- Raymond James Financial, Inc. (Southfield, MI)
- …of branch personnel. * 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 products. **Skill in:** * Operating… more
- Wellington (Boston, MA)
- …will include the setup of new issuer/deal records, credit facilities/ securities , new trade/issuance booking, guideline monitoring, lifecycle activity, corporate ... and industry best practices (LSTA) for loan, credit, and debt securities . **QUALIFICATIONS** The successful candidate for this position would likely have… more
- Edward Jones (Bakersfield, CA)
- …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 ... required; Bachelor's degree preferred + 3-5 years of relevant experience in securities /financial services industry preferred + Series 7 and Series 66 required; if… 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
- 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