- 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
- JPMorgan Chase (Columbus, OH)
- …Set up and manage risk thresholds and limits for activities such as securities lending, FX, loan trading, and reserve repos; coordinate approvals and escalate ... unapproved exposures. + Conduct ongoing risk monitoring through trigger and breach reviews, deep dives, and periodic reviews of approved counterparties, including market-implied credit metrics reporting. + Communicate counterparty approval requests and… more
- Bank of America (Chandler, AZ)
- …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. **Line of Business Job Description:** Anti Money Laundering (AML) Know… more
- Wells Fargo (St. Louis, MO)
- …offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be 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… more
- Bank of America (Towson, MD)
- …and educational background, along with other requirements governed by the US Securities and Exchange Commission ("SEC") + Obtain and/or maintain at least one ... firm approved designation + Possess and demonstrate strong communication skills + Ability to lead through collaboration and influence without direct authority + Detail oriented with strong organizational skills, and ability to manage multiple tasks and… more
- Bank of America (Chicago, IL)
- …and educational background, along with other requirements governed by the US Securities and Exchange Commission ("SEC") + Obtain and/or maintain at least one ... firm approved designation + Possess and demonstrate strong communication skills + Thorough knowledge and understanding of the suite of Wealth Management products and services + Strong analytical and portfolio management skills with the ability to identify… more
- Burns & McDonnell (Denver, CO)
- …the project, client contractor, and/or subcontractor's insurance, licensures, taxes/duties, and securities are in effect according to the project requirements. + ... Support and conduct project safety, quality, progress and financial audits and assessments as required. + Facilitate the materials receiving and management process including inventory control, receiving of goods, storage, and transportation. + Collaborate with… more
- Raymond James Financial, Inc. (New York, NY)
- …**Knowledge of:** Financial advisor business models and practice structures. Securities industry regulations and compliance standards. Recruitment and talent ... acquisition strategies in financial services. Strategic planning and performance management. Business development and relationship management best practices. **Skill in:** Leading and developing high-performing teams. Communicating effectively with internal… more
- Mizuho Corporate Bank (New York, NY)
- …cultivation of client relationships. Qualifications: + Knowledge of corporate finance, securities , financial markets and risk & pricing analysis + Aptitude to ... synthesize large amounts of information and develop innovative ideas and/or product solutions + Ability to manage multiple projects simultaneously + Ability to work under pressure and adhere to tight deadlines + Strong written and oral communication skills and… more
- Bank of America (New York, NY)
- …other downstream + Monthly Independent Price verification on both Derivatives and securities positions. Have a basic understanding and knowledge of financial models, ... + Calculation of the Valuation adjustment - Validation of appropriate application and use of models for books & records. + Maintaining/updating valuation adjustment & IPV Desk Level Procedures (DLP) + Preparation monthly & quarterly revenue and balance sheet… more