- MUFG (New York, NY)
- …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
- Burns & McDonnell (Houston, TX)
- …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
- 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
- Compass Group, North America (New York, NY)
- …any issues with the TD Facility to TD Concierge Owner and/or TD Global Securities and Investigations (GSI) that may impact the safety and security of TD employees. ... -Gathering information for any information technology or facility issue such as inspection(s) of the floor and common area(s) for cleanliness and maintenance (ie, carpet stains) and submitting the request to the applicable area (TD Help Desk or FM WO) and… more
- MyFlorida (Tampa, FL)
- …Standards Board (ASB), the Accounting and Review Services Committee (ARSC), the Securities and Exchange Commission (SEC), the American Institute of Certified Public ... Accountants (AICPA). 25% Provide complex analysis ( including link analysis) and interpretation of: 1) Bank and credit card statements, 2) IRS tax returns, both corporate and individual, 3) Target assets subject to seizure, 4) Financial records, including… 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
- PNC (New York, NY)
- …in fixed income assets and derivative products within PNC Bank's investment securities and derivatives portfolio. The CIO Office's expertise is often required on ... a range of strategic initiatives, including objectives related to interest rate risk, capital, and liquidity regulatory frameworks, and the ALM director's primary responsibility will be to support the CIO Chief Operating Officer and other CIO staff in… more
- JPMorgan Chase (Fort Worth, TX)
- …and the reconciliation of purchase and sales options, futures, or securities . This may involve sanctions screening, payment investigations, funds control, exception ... processing, resolving reconciliation breaks, and invoicing or cash management activities. **Job responsibilities** + Execute high-volume payment processing tasks, including validating global currency fund transfers to ensure accurate and timely transactions,… more
- Charles Schwab (Westlake, TX)
- …full-time basis without employer sponsorship. Charles Schwab Client, Offer & Securities Platform and Data Management is responsible for delivering innovative, ... best-in-class data and infrastructure solutions for client account and trading capabilities. Transformation is at the forefront of our business, and Transformation is more than a moment of change-it's a sustained commitment to evolving how we think, operate,… more
- MUFG (Jersey City, NJ)
- …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