- PNC (Dallas, TX)
- …of distressed commercial real estate loans (primarily Commercial Mortgage Backed Securities loans) as well as potentially co-working larger and more sophisticated ... commercial real estate loans with a senior asset manager within Midland's RES group. You will be part of a collaborative group with employee development at the forefront of all that we do. PNC will not provide sponsorship for employment visas or participate in… more
- Nuveen Investments (Charlotte, NC)
- …in corporate and convertible bonds, senior loans, collateralized obligations, equity securities , and derivatives + Oversee a global team of accounting professionals; ... provides direction to team for related daily operating activities. + Identify areas of improvement and implement necessary enhancements + Participate in new product launches and advise on requirements, processes, risks, and costs from a Finance perspective +… more
- CalSTRS (Sacramento, CA)
- …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) ... (http://www.fppc.ca.gov/Form700.html) . **Incompatible Activities** This position is subject to the provisions of Government Code Section 19990 (https://leginfo.legislature.ca.gov/faces/codes\_displaySection.xhtml?lawCode=GOV§ionNum=19990.) . Upon… 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
- Wells Fargo (Charlotte, NC)
- …check. Internal transfers are subject to comply with 17 CRF 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. Employees support our focus on… more
- Edward Jones (St. Louis, MO)
- …license required (or must be obtained within 4 months of hire) Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, ... and supervisory systems. Leadership, analytical, investigative, and decision-making skills are required. Preferred Experience Bachelor's degree or equivalent industry experience Graduate level degree or additional industry certification(s) is preferred Current… more
- Wells Fargo (Virginia Beach, VA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + This role ... requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section… more
- TD Bank (Brooklyn, NY)
- …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
- Wells Fargo (Scottsdale, AZ)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI,… more
- Wells Fargo (New York, NY)
- …global and cross organizational. **Required Qualifications:** + 5+ years of Securities Product Management experience, or equivalent demonstrated through one or a ... combination of the following: work experience, training, military experience, education **Desired Qualifications:** + Experience in risk management, business controls, or compliance, or equivalent demonstrated through one or a combination of the following:… more
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