- Ventura County (Ventura, CA)
- …Conducts comprehensive market research and financial analysis on fixed-income securities , economic indicators, interest-rate trends, market movements, and regulatory ... sale of money market instruments, analysis of fixed-income investment securities , economic forecasting, and/or experience managing a multimillion-dollar fixed-income… more
- Robert Half Legal (Philadelphia, PA)
- Description Our Philadelphia based law firm is seeking a Corporate & Securities attorney with up to 8 years of experience. The role requires hands-on experience ... investment documents and overseeing deal teams. * Ensure compliance with securities laws and regulations, including those related to private placements, investment… more
- Citizens (Boston, MA)
- …Counsel will report to the Senior Associate General Counsel, Head of Wealth Legal and will be responsible for providing commercial and comprehensive legal ... Management business in partnership with the Head of Wealth Legal . Citizens Bank has grown to be a top...RIA and Broker-Dealer space. + Thorough familiarity with federal securities laws, including the Securities Act of… more
- Robert Half Legal (Broomfield, CO)
- Description Senior Corporate Governance Securities Paralegal Our client, a leading dynamic, technology company in the aviation industry, is seeking a 7 plus years, ... Senior Corporate Paralegal to join its dynamic in-house legal team. This role supports corporate governance, SEC compliance, entity management, and general legal … more
- JPMorgan Chase (New York, NY)
- …that supports over 10,000 deals annually, collaborating with top professionals across legal , business, and trading. This is your opportunity to develop deep ... you. As a Documentation Specialist in the Structured Investments Legal Group, you will assist with the preparation and...the opportunity to work on a wide variety of securities transactions, collaborate with multiple departments, and develop your… more
- Robert Half Finance & Accounting (Chicago, IL)
- …SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations. Primary Responsibilities will include: + Data Collection and Analysis: ... when necessary. + Regulatory Updates: Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly. +… more
- AON (Fort Washington, PA)
- …responsibilities will include managing complex client matters in collaboration with the Legal , Operations, and Client Services teams. You will also be required to ... role, candidates must possess Life, Accident, and Health licenses. Securities 6 and 63 licenses are preferred, as they...include managing complex client matters in collaboration with the Legal , Operations, and Client Services teams. You will also… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $190,000 - $225,000 USD TD is committed to providing fair ... Preferred Qualifications: **Ready to be the change at TD Securities ?** We are an innovator and leader in the...team partners closely with senior leaders across departments Risk, Legal , HR, Compliance, Audit and will work in close… more
- GE Vernova (New York, NY)
- …and will work closely with commercial resources and adjacent control functions such as Finance, Legal and Internal Audit. The role will be based in New York, NY, or ... Broker-Dealer Compliance: Coordinate and execute compliance obligations for regulated securities transactions arranged through a registered Broker-Dealer and Financial… more
- SMBC (New York, NY)
- …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