- Manulife (Boston, MA)
- …(Return of Capital) adjustments + Prepare tax basis adjustments of investment securities + Review diversification tests applicable to tax rules for all portfolios ... mutual fund related tax code sections, forms and elections, and tax adjustments of securities + Must be able to demonstrate knowledge of standard RIC tax adjustments… 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 (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
- 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
- Thrivent Financial (Brenham, TX)
- …of Investigation for review against nationwide fingerprint records. All persons with securities registrations are subject to TIMI's Outside Securities Accounts ... Policy which requires all outside brokerage accounts to be maintained at one of the firms designated by TIMI. At Thrivent, we believe money is a tool, not a goal. Driven by a higher purpose at our core, we are committed to providing financial advice,… 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
- Santander US (New York, NY)
- …Analyzes, designs, develops and maintains software applications to support securities eTrading business. Develops, supports and delivers solutions initially for ... US Rates (US Treasuries) desk and as time allows for other securities desks. Candidate will work directly with the desk needing minimal management supervision in… more
- Wells Fargo (Los Angeles, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Designated ... 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
- Robert Half Legal (New York, NY)
- …services designed to serve healthcare institutions nationwide. Key Responsibilities + Securities and Disclosures: Manage securities -related tasks like SEC ... filings (Forms 144, 10-K, 10-Q, 8-K, S-8, etc.), stock issuance, tax compliance, and public disclosures. + Strategic Transactions: Lead legal aspects of mergers, acquisitions, investments, and related transactions. + Equity and Compensation: Oversee equity… more
- Mizuho Corporate Bank (New York, NY)
- …management and strategic transaction development to execute banking and securities mandates and originate idea generation for potential acquisitions, divestitures ... experience with a top tier global bank + Knowledge of corporate finance, securities , financial markets and risk & pricing analysis + Aptitude to synthesize large… more