- Raymond James Financial, Inc. (St. Petersburg, FL)
- … securities industry. * Advanced principles of banking and finance and securities industry operations . * Advanced financial l markets and products. **Skill ... in:** * Drafting and editing of general commercial contracts with particular focus on contracts required for the operation of a broker-dealer, registered investment adviser and bank holding company. * Developing, preparing and presenting legal theories and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the securities industry. + Principles of banking and finance and securities industry operations . **Skill in:** + Gathering, streamlining and communicating ... complex information in a digestible way. + Creating reports, presentations and talking points for senior leaders. + Providing support and guidance for compliance efforts. + Reviewing materials for compliance with rules and regulations. + Researching compliance… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets, products, financial advisory function ... and investment process. **Skill in** + Personal trust and estate administration. + Strong interpersonal and leadership skills to provide a high level of customer service. + Cultivating and maintaining effective working relationships at all levels of the… more
- Citigroup (Tampa, FL)
- …Other job-related duties may be assigned as required. **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives ... Citi Agency Lending is part of the overall Securities Services Business unit. The ASL Business facilitates...trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of… more
- Citigroup (Tampa, FL)
- …Other job-related duties may be assigned as required. **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives ... transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is… more
- SMBC (White Plains, NY)
- …Description** The Securities unit is a part of the Treasury Operations group within BCDAD and is responsible for the confirmation, settlement, clearance and ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...policies, and procedures are followed as they relate to operations + Assists staff to ensure payment processing is… more
- Wells Fargo (Charlotte, NC)
- …in requirements gathering and solution design + Trade processing lifecycle and/or securities operations experience **Job Expectations:** + Hybrid work schedule, ... the Custody and Wealth Servicing Product team within WIM Operations . **In this role, you will:** + Participate in...Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. ... to communicate this knowledge and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability...to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Medtronic (Minneapolis, MN)
- …has responsibility for supporting the Vice President, Chief Corporate and Securities Counsel by overseeing the preparation, management and oversight of Medtronic's ... including periodic reports, current reports, proxy statements, Section 16 filings, securities offerings, and other related filings. This attorney will also provide… more
- Bristol Myers Squibb (Princeton, NJ)
- …careers.bms.com/working-with-us . **Position Summary** The Senior Corporate Counsel, Disclosure & Securities Law will provide legal counsel on securities and ... legal review and compliance with all statements made, including securities and regulatory law compliance for a public company....are generally not available for field sales and manufacturing operations and may also be limited for the capability… more