- GROWMARK, Inc. (Bloomington, IL)
- …monthly treasury accruals related to interest expense, swaps, marketable securities gains/losses Assists with the preparation of selected annual consolidated ... financial statement footnote disclosures according to GAAP, including coordination with GROWMARK divisions and subsidiaries. Assists other accounting staff with projects, research, audits, analyses and reporting as requested. May perform routine research and… more
- Wells Fargo (Raleigh, NC)
- …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
- Bank of America (Charlotte, NC)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... Financial Officer (CFO) Group, we also bring together a holistic point of view across all seven risk types for the Company's CFO. The team helps Bank of America grow responsibly through developing our teammates, promoting opportunity and an inclusive culture,… more
- Janus Henderson Investors (Denver, CO)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- Deloitte (Sacramento, CA)
- …in the world, serving over 90% of Fortune 500 banking, insurance, securities , investment management, and real estate companies. Deloitte works with clients to ... address a range of critical issues brought on by regulatory changes, competition, globalization, advances in technology, and the changing demands of their customers. Our clients include asset, wealth, and investment advisers and administrators from every… more
- Citigroup (New York, NY)
- …is a clearing business within Prime Services for fixed income securities . **Key Responsibilities:** + **Tool Development & Maintenance:** Use programming languages ... (eg, Python) to build and maintain core functionality for the team, including new tools and methods for measuring portfolio and trade-specific risk across EqD, FDC, Cash, and FIPB. + **Portfolio Monitoring:** Monitor client and proprietary portfolios,… more
- JPMorgan Chase (Garden City, NY)
- …internal clients + Adhere to internal and external policies and procedures regarding securities transactions and code of conduct + Provide guidance to junior staff ... **Required Qualifications, Capabilities, and Skills** + Bachelor's degree required + Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but required to obtain licenses within 90 days of start date + Seven plus years of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …be able to obtain within 120 days-the following FINRA licenses:_ + SIE ( Securities Industry Essentials) - Required unless exempt or grandfathered. + Series 99 ... (Operations Professional) - Required unless you already hold one of the following qualifying registrations: Series 6, 7, 17, 37, 38, or principal-level Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, or 53. _These licenses are essential for ensuring compliance… more
- Enterprise Bank & Trust (Clayton, MO)
- …and 13G. + Monthly reconciliation of all house accounts and preparation of securities reports for management. + Manages tax reporting of 1099 DIOB, Misc Income, ... 5498's, MLPs and K-1s. + Daily processing of all miscellaneous income, fee checks, coding issues and other system adjustments/issues. + Maintain Security vault and performs annual audit + Backup to all jobs on trust operations team + Maintain and process… more
- Citigroup (New York, NY)
- …to work without direction, self-motivated + US: S7, S66 (or S63/S65); NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + ... Bachelor's/University degree or equivalent experience **Job Family Group:** Private Client Product Services **Job Family:** Investment Counselor **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary… more