- Citigroup (New York, NY)
- …Work in close partnership with control functions such as Model Risk Management, Legal , Compliance, Market and Credit Risk, Audit, Finance in order to ensure ... to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same… more
- The Hartford (Wayne, PA)
- …help achieve sales/firm objectives + Comply with all rules and regulations of selling securities as outlined by FINRA and SEC as well as any established internal ... It's Like to Work Here (https://www.thehartford.com/careers/our-employees) Perks & Benefits Legal Notice (https://www.thehartford.com/ legal -notice) Accessibility Statement Producer Compensation… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on ... including but not limited to basic income tax questions and other legal issues requesting guidance when appropriate. * May participate in client presentations.… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …services with insurance industry experience. * Possession of the appropriate securities and insurance licenses * Strong proficiency in computer applications, ... placement solutions for finance and accounting, technology, marketing and creative, legal , and administrative and customer support roles. Robert Half works to… more
- Mizuho Corporate Bank (New York, NY)
- …management and strategic transaction development to execute banking and securities mandates and originate idea generation for potential acquisitions, divestitures ... structuring and pricing decisions + Assist in structuring and negotiation of legal documents, underwriting transaction evaluation, due diligence and deal execution +… more
- Athene (West Des Moines, IA)
- …platform and additional internal partner groups including finance, accounting, treasury, legal , and our investment advisor They will be the derivative group's ... Research, analyze and make recommendations to senior management on derivatives securities to determine investments that contribute to achieving the portfolio… more
- MUFG (New York, NY)
- …the trade + On-board clients in coordination with the firm's credit, legal , compliance, and operations teams + Mentor and develop junior salespeople **Requirements** ... 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
- Atria Wealth Solutions (Corning, NY)
- …who live, work, worship, attend school or maintain a business or other legal entity in Chemung, Steuben, Tioga, Schuyler, Livingston, Allegany and Yates Counties, ... financial and investment vehicles in the market and the tax and securities consequences to clients with particular investments. Attends training and/or completing… more
- Siemens Energy (Houston, TX)
- …+ Fully responsible for all commercial andfinance-related matters, including Accounting, Legal , Tax, Foreign Exchange,and NCM topics. + Manage and optimize financial ... like SAP, OnePM, and eFMT, andmanage financial guarantees, bonds, and securities . + Support project management in risk assessment,non-conformance cost reduction,… more
- MUFG (Tempe, AZ)
- …and applicable laws; (10%) + Stay abreast of industry best practices and legal requirements and keep management informed of changes. (5%) Requires direct work ... 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