- Raymond James Financial, Inc. (Southfield, MI)
- **Key Responsibilities** + Own the end-to-end mutual fund operations function, including governance of securities master and trading restrictions; trade ... to act in a sponsorship role. + Principles of finance and securities industry operations . + Financial markets and products. + Performance management. Skills: +… more
- Intercontinental Exchange (ICE) (New York, NY)
- …Committee; initiate delistings for cause; coordinate delistings with corporate communications, securities operations , market watch and client service. + Maintain ... in a timely manner. + Review and analyze periodic reports filed with the Securities and Exchange Commission and other documents to ascertain compliance with NYSE and… more
- PNC (Louisville, KY)
- …business from the CCO and a deeply experienced team. Familiarity with corporate and securities operations is highly valuable for success in this role. While a ... support investment advisory subsidiaries of PNC that are registered with the US Securities and Exchange Commission (SEC). Your primary role will be to support and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. * Principles of banking and finance and securities industry operations . * Financial markets and products. * The competitive ... as trusted business partners to our advisors, supporting day-to-day operations , enhancing practice efficiency, and enabling growth through consultative engagement.… more
- Raymond James Financial, Inc. (Southfield, MI)
- …and procedures used in the securities industry + Principles of securities industry operations and financial services and products **Other Skills:** * ... Authority (FINRA) Series 99 - Operations Professional + FINRA Series 7 - General Securities Representative + Certified Investment Services Professional (CISP) more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Skill in:** + ... team lead, you will leverage extensive knowledge and skills in securities , the banking industry, and/or compliance-gained through experience, specialized training,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Data Loss Prevention (DLP) technologies + Principles of banking and finance and securities industry operations . **Advanced skill in:** + Experience with metrics ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more
- Capital One (Plano, TX)
- …processes and procedures and provide training to other associates on M&A operations , securities settlement related issues, while supporting existing products and ... firm. The position will be part of the Commercial Operations team and will involve the processing of functions...functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various… more
- JPMorgan Chase (Newark, DE)
- …Finance, or equivalent + 7 years of experience in asset servicing or securities operations , with proven leadership and project management experience. + ... for the processing of global income and Corporate Actions events across multiple securities types, including equities and fixed income products held by the firm and… more
- JPMorgan Chase (Plano, TX)
- …in a dynamic, fast-paced environment. Job Summary As an Associate II in Securities Services Operations Transformation - Cross Product Change Services, you will ... Join JP Morgan Securities Services and be part of a team...a collaborative team, you will engage with stakeholders across Operations , Product, and Technology. Your expertise will help drive… more