- 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
- JPMorgan Chase (Austin, TX)
- …+ Extensive knowledge of products and services + FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire ... **Preferred Qualifications, Capabilities and Skills** + Bachelor's degree preferred + Superior knowledge of the market dynamics and its business environment preferred + Excellent problem solving, oral, and written communication skills JPMorganChase, one of the… more
- Insight Global (El Segundo, CA)
- …understanding of asset management, fixed income, alternatives, derivatives, and other securities Understanding of data - simple workflows, understanding where data ... This is for a one year contract with likely extensions. It is required that this person work onsite in El Segundo, CA 3-4 days per week. This person will be joining the FinOps department. This Project Manager will lead an initiative to transform the monthly… more
- NBT Bank (Newburgh, NY)
- …Abilities: + Thorough knowledge of investment and insurance products and applicable securities and insurance rules and regulations. + Strong communication and PC ... skills. + Unblemished compliance record. + Demonstrated team player and high quality service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not Series 7 licensed, FC will be required to obtain… more
- Raymond James Financial, Inc. (Southfield, MI)
- …Legal) + Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules ... and regulations as well as departmental procedures + Compiles operational information for internal and external auditors (eg FINRA, SEC) with limited oversight + Plans and executes remediation efforts for any identified issues with minimal guidance/support… more
- 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