- MUFG (Tempe, AZ)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Raymond James Financial, Inc. (Cedar Rapids, IA)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading ... terminology. **Skill in** + Client Relationship Management (CRM) software, or similar contact management software. + Microsoft Office, including Excel + Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)… more
- Edward Jones (Laguna Beach, 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 ... 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
- City of Carlsbad (Carlsbad, CA)
- …completion of project punch lists, completing as-built process, and completing the securities release process. While performing the duties of this class, the ... employee is regularly required to use written and oral communication skills; read and interpret data, information and documents; analyze and solve problems; use math and mathematical reasoning; observe and interpret situations; learn and apply new information… more
- Charles Schwab (Orlando, FL)
- …international client experience and an equivalent level of knowledge of securities industry required + 3+ years' demonstrated experience introducing advisory ... products and services to international clients (wealth and investment management solutions) required + Extensive knowledge of the intricacy of working with international clients, jurisdictional nuances, tax impacts, foreign regulatory impacts, product… more
- Bank of America (Jacksonville, FL)
- …conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this ... role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in… more
- BlackRock (San Francisco, CA)
- …BlackRock's Index Investments, Cash Management, Global Trading, ETF Markets, Securities Lending, and Financing & Financial Resource Management businesses. Together, ... we provide clients with superior market access and index investment outcomes through: + World class talent, operating at the intersection of investment insight, markets expertise, risk management and process design + Technology at the heart of our processes,… more
- State of Colorado (Denver, CO)
- …DO The Financial Fraud Unit exists to investigate and prosecute allegations of securities fraud and insurance fraud throughout the State of Colorado. This position ... serves as a criminal investigator to evaluate and identify allegations that meet the statutory definition of insurance fraud. This position will conduct criminal investigations that include independent verification of allegations through interviews and… more
- MUFG (Irving, TX)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- BMO Financial Group (New York, NY)
- …of proficiency: + Risk analytics, financial markets. + Finance. + Pricing securities . + Creative thinking. + Computer Science. + Applied Mathematics. + Programming. ... + Statistical Models. + Data structures. + Automation. + Verbal & written communication skills. + Analytical and problem solving skills. + Collaboration & team skills; with a focus on cross-group collaboration. + Able to manage ambiguity. + Data driven… more