- 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
- AIG (New York, NY)
- …of strategic transactions at AIG, including M&A, capital markets and insurance-linked securities (ILS) matters. + Advising multiple business units on ceded and ... assumed facultative reinsurance transactions. + Analyzing the contractual aspects of internal reinsurance arrangements within AIG. + Working with AIG's Multinational business, operational and legal teams to structure and implement the reinsurance aspects of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of:** + Advanced investment concepts, practices, and procedures used in the securities industry. + Advanced transaction structure and process. + Advanced client ... relationship building and management. + Advanced concepts, principles, and practices of Investment Banking. + Financial markets and products. **Skill in:** + Communicating effectively with different types of professionals. + Exceptional presentation talent. +… more
- Truist (Charlotte, NC)
- …real estate data sources (CoStar, REIS, Axiometrics). + Optional: FINRA Securities licensure (Series 79 and Series 63). \#Atlanta **General Description of ... Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by… 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
- 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 (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. (Birmingham, MI)
- …used in the industry. + Principles of estate planning, trusts and securities industry operations. + Financial markets and products. + Effectively managing client ... relationships. + Strategic planning as part of client retention focus. + Gathering and compiling information and data. + Preparing and delivering written and oral presentations. + Operating standard office equipment and using required software applications. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and related content + Investment concepts, practices and procedures used in the securities industry + Financial markets and products + Microsoft Outlook suite + ... Publishing systems **Skill in** + Creating communications plans that blend attention to detail with flexibility and effective messaging + Distilling complex legal and regulatory subject matters into easily digestible communications + Writing intranet page… more
- MUFG (Chicago, IL)
- …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