- 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
- Janus Henderson Investors (New York, NY)
- …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
- AbbVie (North Chicago, IL)
- …Work in key corporate legal areas such as corporate financing, securities compliance and disclosure, compensation and benefits, and corporate governance. Strategic ... Transactions Academy Substantive legal work related to acquisition transactions as well as new and existing collaborations; assessing antitrust risks associated with mergers, acquisitions, and licensing transactions; and venture capital transactions. Global… 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
- 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. (St. Petersburg, FL)
- …of financial markets and investment concepts, practices and procedures used in the securities industry. + Applies sound news judgement to market, economic and policy ... developments. + Applies comprehensive knowledge to act independently while providing guidance and training to others on using clear and effective verbal communications skills to express ideas, request actions and formulate plans or policies. + Works without… 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
- 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