- KeyBank (Brooklyn, OH)
- …risk programs to ensure consistency with current applicable banking and securities rules, regulations, and laws. + Develop and maintain strong, collaborative ... relationships with management, other internal clients and peers, and Audit. **Required Qualifications** + Education/Background: Bachelor's degree, + Two (2) or more years of BSA/AML, OFAC and Fraud compliance, risk management, and/or audit experience with a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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
- 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
- BlackRock (New York, NY)
- …government bonds, investment grade and high yield credit, Agency mortgage-backed securities , and securitized products (CMBS, ABS, Non-Agency MBS and CLOs). Clients ... include pension funds, corporate treasury departments and retail investors, with portfolio types spanning separate accounts, mutual funds, ETFs and closed end funds. The disparate nature of the client base results in portfolios with varying alpha targets and… more
- M&T Bank (New York, NY)
- …services (including custody, corporate trust, fund administration, and securities services) and wealth management (including private banking, investment ... advisory, and trust services). Ensure legal coverage aligns with business priorities and regulatory expectations. + Deliver expert legal advice on federal and state regulatory compliance, including: + Investment Company Act of 1940 + Investment Advisors Act of… more
- Raymond James Financial, Inc. (Depew, NY)
- …methods + Basic 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 + Effective communication (in-person, virtual, phone and mail) **Ability to** + Operate standard office equipment and use required software applications to produce correspondence, reports,… more
- Insight Global (Los Angeles, CA)
- …& Skills * Experience with a leading RIA or fiduciary environment ( securities , banking, or another RIA); experience at a large wirehouse/waterhouse is a ... plus. * Familiarity with the regulatory landscape (SEC/FINRA/RIA-C) and fluent in operational best practices. * Proficient with Redtail (CRM), Orion portfolio accounting/operations, and compliance tracking tools (ComplianceAlpha preferred). * Strong client… more
- Edward Jones (Tempe, AZ)
- …in the public sector, or in an in-house counsel capacity + Securities industry and/or litigation experience preferred + Excellent analytical and problem-solving ... skills + Sound judgment and an ability to appropriately assess risk + Exceptional verbal and written communication skills + Strong organizational and prioritization skills in a deadline-driven environment Read More About Skills/Requirements **Awards &… 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
- US Tech Solutions (Newark, NJ)
- …Mandatory events, Fixed Income, Class Actions, Bankruptcy, Proxy and physical securities processing + Provide exceptional client service to our outsourcing clients ... + Perform various reorg events ensuring payments are made timely and accurately, as well as mitigate risk and exposure to the firm + Monitor deadlines and critical cut-offs to ensure instructions are processed accordingly + Demonstrate the ability to identify… more