- Burns & McDonnell (Kansas City, MO)
- …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. + Coordinate… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …support and technical documentation. + Principles of banking and finance and securities industry operations. + Business planning and analysis. + Project budget ... interfaces with other accounting systems. + MS Project or SmartSheets + Azure DevOps (TFS) or similar + EPM/ERP platforms (Oracle, PeopleSoft, OneStream or HFM) preferred. + Data Warehousing or Finance Data Store Implementations is preferred.… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and principles. + Investment concepts, practices and procedures used in the securities industry and as required by New Accounts. **Preferred Skills & ... Qualifications** + Familiarity with AI tools, quality monitoring systems, and customer management platforms to support business processes. + Demonstrated experience in quality assurance, call monitoring, coaching, or dispute resolution within customer service… more
- Raymond James Financial, Inc. (Memphis, TN)
- …FR 2052a, and Basel III. + Product knowledge eg Loans & Leases, Securities , Deposits, Derivatives, SFT, etc. + SDLC methodologies (Agile, Waterfall, Hybrid). + Basic ... accounting principles and financial instruments. + Risk management, issue tracking, and change management processes. Skills in: + Requirements gathering, analysis, and documentation for regulatory reporting. + Experience with OFSAA is a plus or similar finance… more
- Wells Fargo (Charlotte, NC)
- …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
- Principal Financial Group (Atlanta, GA)
- …industry experience + Must become an associated person of Principal Securities , Inc + Qualified Plan knowledge strongly preferred (Defined Benefit, Defined ... Contribution) + Excellent demonstrated leadership, negotiation, presentation, organizational, and problem-solving skills required, as well as superior interpersonal, analytical, and oral and written communication skills + Must be assertive and entrepreneurial… 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
- MUFG (Tempe, AZ)
- …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