- Capital One (Mclean, VA)
- …is maintained in accordance with applicable regulatory requirements and legal agreement terms, including appropriate segregation, if applicable + Monitors ... etc.) + Experience demonstrating an understanding of derivatives and mortgage-backed securities + Strong communication and analytical skills + Experience creating… more
- Edward Jones (Tempe, AZ)
- …tax savings opportunities; + Communicating with outside business partners, tax and legal professionals; + Communicating with the IRS and state tax authorities and ... as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA… more
- TD Bank (Boston, MA)
- …required + 10+ years related industry experience preferred + Professional legal and/or accounting designation required + Financial planning designation (CFP (R)) ... FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be… more
- CoStar Realty Information, Inc. (Charlotte, NC)
- …selling CRE, digital advertising, marketing solutions, AdTech, PropTech, FinTech, financial securities , business intelligence or data & analytics. + Demonstration of ... healthcare coverage: Medical / Vision / Dental / Prescription Drug + Life, legal , and supplementary insurance + Virtual and in person mental health counseling… more
- JPMorgan Chase (Jersey City, NJ)
- …the Regulatory Strategy Lead within the Commercial and Investment Bank & Securities Regulatory Engagement Management team, you will be responsible for leading ... including experience at a large financial institution or regulator, consulting or legal firm + Experience in Broker Dealer, FCM, Swap Dealer, Control Management,… more
- CIBC (New York, NY)
- …products, including but not limited to Fixed Income, Margin Lending, Securities Lending, Options, Futures, and Derivatives. Familiarity with Treasury operations and ... Analysis:** Capacity to view issues from various perspectives (Line of Business, Legal Entity, Product, Source System, etc.) to provide comprehensive insights and… more
- MUFG (New York, NY)
- …active, and rewarding team environment. + Work with internal partners, Compliance, and Legal to ensure safe and sound deal execution and management, as well as ... 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
- Ankura (Chicago, IL)
- …review and supervision and quality control of data entry activities; + Providing non- legal outreach to state regulators as directed by project lead. Requirements: + ... companies, commercial lending, mortgage lending, consumer collections agencies and securities /brokerage [broker dealer, registered investment advisor, exempt registered advisor]… more
- Ankura (New York, NY)
- …review and supervision and quality control of data entry activities; + Providing non- legal outreach to state regulators as directed by project lead. Requirements: + ... companies, commercial lending, mortgage lending, consumer collections agencies and securities /brokerage [broker dealer, registered investment advisor, exempt registered advisor]… more
- Robert Half Finance & Accounting (Cedar Rapids, IA)
- …objectives and policies. * Facilitate the execution, trading, and settlement of securities within the investment portfolio, adhering to risk limits and procedures. * ... placement solutions for finance and accounting, technology, marketing and creative, legal , and administrative and customer support roles. Robert Half works to… more