- BlackRock (New York, NY)
- …government bonds, investment grade and high yield credit, Agency mortgage-backed securities , and securitized products (CMBS, ABS, Non-Agency MBS and CLOs). Clients ... with day-to-day portfolio management activities including tactical trades, target changes, compliance management, and cashflows. + Leverage technical skills to make… more
- MUFG (Tampa, FL)
- …and full communication with the operations and support. + Ensure compliance with technical best practices, standards and policies. + Gather/document business ... 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… more
- Janus Henderson Investors (New York, NY)
- …requirements, by: + Annual performance appraisal + Completion of all assigned compliance training Supervisory responsibilities + No Potential for growth + Mentoring ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- DuPont (Parlin, NJ)
- …end-to-end performance including Environmental, Health and Safety (EH&S), compliance , customer performance (delivery and quality), asset reliability, manufacturing, ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more
- HSBC (Jersey City, NJ)
- …with Syndicate Desk and Global partners to ensure proper depository alignments of securities , with follow up and clearance on fails, and resolution of issues + ... Ability to manage a network of diverse stakeholders in person and remotely. In compliance with applicable laws, HSBC is committed to employing only those who are… more
- MTA (New York, NY)
- …and posted to contract payment tracking information in Excel to ensure compliance with Prompt Payment Legislation. + Process special payment requests as required, ... such as: Lien checks, substitution of securities in lieu of cash retainage, lien assignments, and contract closeouts. + Supports the external and internal audit… more
- MUFG (Tempe, AZ)
- …Promote a high degree of awareness of risk, risk control measures, and compliance policies and procedures among all staff members. Participate in work unit/RC ... 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… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …for internal clients by having courteous interactions with them. + Assess compliance with established standards and protocols for routine inquiries. + Support others ... and time cut-offs + 15c-3 possession and control rules regarding customer fully paid securities and fail resolution + Reg T as applicable to DVP accounts + MSRB… more
- Bank of America (Charlotte, NC)
- …Accounting, Quantitative, or Economics + Experience analyzing fixed income securities , interest rate derivatives + Experience withSAP / Oracle(general ledger ... + Financial Analysis + Financial Forecasting and Modeling + Adaptability + Regulatory Compliance + Reporting + Risk Analytics + Scenario Planning and Analysis +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Ensures monthly minimum wage requirements for commissioned associates are in compliance . + Creates, reviews and/or audits reports on a regular basis. Provides ... concepts and practices. + Principles of banking and finance and securities industry operations. **Skill in:** + Analyzing financial information. + Performing… more