- The Hartford (Hartford, CT)
- …to information ultimately used in making investment decisions, transacting securities , exercising compliance and controls over investment processes, and ... accurate manner. Covers the entire spectrum of Fixed Income securities including Investment Grade and High Yield bonds, Mortgage-Backed...If you will be deemed to be a "Covered Associate " under HIMCO's Pay to Play Policy, you will… more
- First National Bank of Omaha (Omaha, NE)
- …experience with a bank or financial institution(2LOD/Compliance related role). ( Securities Trading, Wealth Management, or Non-Consumer Banking related compliance ... would not be considered applicable experience for this position). **_Desired_** + Professional Certification: Certified Internal Auditor (CIA) and/or bank compliance expertise related certification: + Certified Regulatory Compliance Manager (CRCM) + Certified… more
- US Bank (Hackensack, NJ)
- …(GAAP). Records trade information, income/expense activity and applies valuation of securities in the portfolio accounting system. Enters and reconciles all investor ... contributions and withdrawals in the partnership accounting system. Allocates fund level profits to individual investors for preparation and distribution of investor statements. Reviews and coordinates fund expense analysis and expense processing. Prepares… more
- MUFG (Tampa, FL)
- …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. (Jackson, MI)
- …and methods + Investment concepts, practices, and procedures used in the securities industry + Financial markets, products and industry regulations **Skill in** + ... Client Relationship Management (CRM) software + Microsoft Office Suite + Effective communication (in-person, virtual, phone, and mail) **Ability to** + Familiarity with software applications, such as Excel, to produce correspondence, reports, electronic… more
- Raymond James Financial, Inc. (Memphis, TN)
- …office concepts and those that govern fee based operations, finance, and/or securities industry operations. + Process flows within a specific assigned functional ... area. + Regulations for a specific assigned functional area. **Skill in:** + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. + Analyzing… more
- BlackRock (New York, NY)
- …range of asset classes including corporate equity and fixed income, mortgage-backed securities , municipal bonds, sovereign bonds, as well as on investments in ... private markets such as infrastructure and real estate. As energy, weather and climate, and other geospatial sources of investment risk become an ever-increasing focus for investors, you will be developing models and analytics to help drive a deeper… more
- Raymond James Financial, Inc. (Memphis, TN)
- …office concepts and those that govern fee-based operations, finance, and/or securities industry operations. + Process flows within a specific assigned functional ... area. + Regulations for specific assigned functional areas. + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. + Analyzing data to identify… more
- Insight Global (Tampa, FL)
- …Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory organizations. This person ensures that all retail ... communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role, you will be managing financial advisor and regulator inquiries through multiple platforms such… more
- Raymond James Financial, Inc. (Memphis, TN)
- …losses. + Fundamental investment concepts, practices and procedures used in the securities industry. **Skills:** + Supports business processes with guidance but not ... constant supervision by understanding and effectively using standard office equipment and standard software packages. + Uses clear and effective verbal communications skills under supervision to express ideas, request actions and formulate plans or policies. +… more