- 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
- Raymond James Financial, Inc. (El Dorado, KS)
- …and methods + Investment concepts, practices, and procedures used in the securities industry + Financial markets, products, and industry regulations + Trading ... terminology + Financial planning software **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… more
- Raymond James Financial, Inc. (Southfield, MI)
- …well as formal and informal training and coaching. **Knowledge of:** + Securities industry related to job responsibilities, department and division. + Products ... concepts relating to financial services industry, including financial instruments, financial management, and cash and capital principles. + General office practices and procedures. **Skills:** + Supports business processes with guidance but not constant… more
- BlackRock (San Francisco, CA)
- …BlackRock's Index Investments, Cash Management, Global Trading, ETF Markets, Securities Lending, and Financing & Financial Resource Management businesses. Together, ... we provide clients with superior market access and index investment outcomes through: + World class talent, operating at the intersection of investment insight, markets expertise, risk management and process design + Technology at the heart of our processes,… 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
- GROWMARK, Inc. (Bloomington, IL)
- …monthly treasury accruals related to interest expense, swaps, marketable securities gains/losses Assists with the preparation of selected annual consolidated ... financial statement footnote disclosures according to GAAP, including coordination with GROWMARK divisions and subsidiaries. Assists other accounting staff with projects, research, audits, analyses and reporting as requested. May perform routine research and… 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
- 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
- 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
- BMO Financial Group (New York, NY)
- …and Market Access. + Strong knowledge of applicable regulatory/compliance requirements, securities laws, rules and regulations with the ability to assess firm ... impact. Series 7, 63, and/or 24 a plus. + Typically minimum of 3 years of relevant experience and secondary degree in related field of study or an equivalent combination of education and experience. + Recognized compliance certificate or equivalent preferred.… more