- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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. **Skill in** + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. + Analyzing data… more
- Raymond James Financial, Inc. (Tampa, FL)
- …guidelines. + Advanced investment concepts, practices and procedures used in the securities industry. + Client relations management tools. + Financial services news ... and data resources. + Principles and practices of marketing and client relations management tools + Financial services news and data resource tools + General website design and management of various social media platforms **Ability to** + Operate standard… 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
- 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)
- …to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, ... trading patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Works independently on difficult… more
- Raymond James Financial, Inc. (Dana Point, CA)
- …to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships, ... credit rating preparation, investor presentations, RFPs, and the drafting of securities offering documents. Expect to grow your analytical skills while contributing… more
- Thrivent Financial (Spokane, WA)
- …by individual situation), which may include: + Resident state Life, Health and Annuity + Securities Industry Essentials (SIE) + Series 6 and 63, 7 and 66, or 7, 63 ... encouraged to apply. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Career… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …company by combining the traditional roles of the Financial Advisor and Service Associate . The ideal candidate will have a passion for providing excellent customer ... the ability to communicate post-issue product details across the organization. This associate is also responsible for coordinating and communicating with carriers on… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 11 **Job Description: Lead/ Associate Director of ML & MLOps Engineering - Generative AI** **About the Role:** ... We are seeking a Lead/ Associate Director of ML & MLOps Engineering to join...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more