- Securities and Exchange Commission (Washington, DC)
- …concerns, or grounds for enforcement action. Communicating with the Division's Director, Associate Directors, and with others inside and outside the Division about ... and applying the provisions and providing sound advice regarding the federal securities laws (for example, the Investment Company Act, the Investment Advisers Act,… more
- State of Connecticut, Department of Administrative Services (Hartford, CT)
- …Banking is the primary state regulator for state-chartered banks and credit unions, securities , and consumer credit. Its mission is to protect users of financial ... entities and individuals adhere to state banking, consumer credit and securities laws. The Department accomplishes this through regular, thorough, and cost-effective… more
- MyFlorida (Orlando, FL)
- …Division of Financial Institutions, Division of Consumer Finance, Division of Securities , and Bureau of Financial Investigations (BFI). The programs oversee and ... a wide range of financial enterprises and individuals, such as: securities industry participants, money transmitters, consumer finance companies, mortgage loan… more
- Raymond James Financial, Inc. (Savannah, GA)
- …appraisals and salary reviews of operations associates, and maintains branch associate files. + Reviews daily work of operations associates; Evaluates workload ... + Investment concepts, practices and procedures used in the securities industry. + Financial markets and products. + Human...66 as required by state. + Ability to obtain additional securities and advisory state registrations if required by… 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, and ... of:** Fundamental investment concepts, practices and procedures used in the securities industry. Financial markets and products. Quantitative financial analysis and… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… 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, ... Abilities** **Knowledge of** **:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Fundamental investment concepts,… 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, ... Abilities** **Knowledge of** **:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Fundamental investment concepts,… 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, ... of** **:** + Foundational understanding of financial markets, products, and securities industry operations. + Basic principles of risk management, risk assessment… more
- T. Rowe Price (Baltimore, MD)
- …Analyze and recommend potential purchases and sales of securitized products securities to enhance portfolio performance. Conduct fundamental sector, market, and ... trends, macro developments and their impact on securitized credit securities . 4. Communicate and collaborate with various internal and...and needs, at work and in life. As an associate , you'll be supported with resources , benefits ,… more