- Guardian Life (Bethlehem, PA)
- …part of a collaborative Compliance Legal Team? The Compliance Analyst, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), works as part of the ... Compliance team to ensure that various compliance and regulatory processes and procedures are implemented to mitigate and reduce risk to the firm, its clients, and the firm's associated persons. **You are** An enthusiastic, self-motivated, high-energy… more
- Edward Jones (St. Louis, MO)
- …From account opening to trade settlement and movement of client cash and securities , to statement production and tax reporting, Operations is involved every step of ... the way. As the backbone of the branch, your work will support all client transactions and processing through the life cycle of the client relationship. Through strategic thinking and cross-functional collaboration, you'll continuously identify opportunities… more
- US Bank (Chicago, IL)
- …Skills/Experience - Basic understanding of syndicated bank loans, fixed income securities , securitization, trading or mutual funds - Ability to identify and ... resolve exceptions and to interpret data - Effective interpersonal, verbal and written communication skills - Ability to perform multiple tasks and meet established deadlines in a dynamic working environment with minimal supervision - Proficient computer… more
- Bank of America (Jacksonville, FL)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... derivatives across multiple Lines of Business. Key responsibilities include carrying out duties under general supervision and assisting teammates while following established procedures. Anti-Money Laundering (AML) Know Your Customer/Client Due Diligence… 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 ... Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview… more
- TD Bank (Greenville, SC)
- …a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and… more
- Raymond James Financial, Inc. (New York, NY)
- …Banking. + Fundamental investment concepts, practices and procedures used in the securities industry. + Concepts, practices and procedures of Tax and Accounting. + ... Financial markets and products. + Leading business concepts learned in graduate degree setting. **Skill in:** + Communicating effectively, both orally and in writing. + Analytical skills sufficient to assess and explain events in the market. + Problem solving… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …financial centers. Its investments span public and private debt and equity securities , direct investments in private companies, and real estate. The role involves ... managing a substantial portion of the hedge fund accounting operations and presents a clear opportunity for leadership and long-term career growth. The organization is in a period of innovation and welcomes candidates who bring fresh ideas and a continuous… more
- Bank of America (Jersey City, NJ)
- …reference the job title of the role and requisition number. EMPLOYER: BofA Securities , Inc. **Shift:** 1st shift (United States of America) **Hours Per Week:** 40 ... Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin,… more
- Wells Fargo (Charlotte, NC)
- …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 ... that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. Specific compliance policies may… more