- Wells Fargo (St. Louis, MO)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... (Word, Excel, and Outlook) skills Successfully completed + Successfully completed Securities Industry Essentials (SIE) exam + Successfully completed FINRA Series 7… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... Fargo is seeking a Front Office Equities Quant - Vice President (Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking as part of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …trends, trading patterns and possible rules violations and ensure adherence to securities industry regulations and limit firm liability. Conduct internal reviews to ... ensure compliance with regulatory requirements and internal policies including potential...+ Monitors and keeps up to date with applicable securities /advisory regulations. + Interprets, applies and recommends changes to… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... in public and private equity, M&A, loan and high yield and convertible securities transactions. + The position requires a high level of initiative and the… more
- Wells Fargo (Toms River, NJ)
- …experience, training, military experience, education + Successfully completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... Fargo is seeking a CIB Quantitative Strategist - Vice President (Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking. Learn more… more
- JPMorgan Chase (Pittsford, NY)
- …+ Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies. + Ensure team members understand their ... communicating changes to the team. + Develop expertise in securities rules and regulations through research and training. +...24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life,… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... is seeking a Front Office Equities Quant - Executive Director (Senior Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking as part of… more
- Raymond James Financial, Inc. (Denver, CO)
- …addition, the team detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability. The advisor of the Annuity ... reviews to detect trends and trading patterns to ensure adherence to securities industry regulations and limit firm liability. Some guidance is provided to… more
- Atria Wealth Solutions (Dublin, CA)
- …that promote synergy. + Oversee the completion of all required Credit Union compliance training and those mandated by the broker-dealer. + Serve as a liaison ... training content for branch teams and vet content with Compliance and our broker-dealer partner, and ensure monthly training...coaching experience. + Series 7, 63, 65 (or 66) Securities Registrations, and Life Insurance licenses are required. +… more