- Athene (CT)
- …and Derivative Finance, who oversees Investment Finance, Derivative Accounting & Operations , Investment Valuation and Investment Finance Solutions + Work closely ... designation strongly preferred + Strong knowledge of Fixed Income, Structured Securities , Mortgage Loans and Alternative Investments. Derivatives knowledge is a plus… more
- Janus Henderson Investors (Denver, CO)
- …data processes to reduce manual intervention and ensure smooth business operations . + Document data flows, establish clear data definitions, and participate ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- Southern Company (Atlanta, GA)
- …11-K, 8-K, etc.) in accordance with Generally Accepted Accounting Principles (GAAP), Securities and Exchange Commission (SEC), and various state and federal utility ... for Southern Company Gas and its four reporting segments (Distribution Operations , Gas Marketing Services, Gas Pipeline Services and Corporate), including annual… more
- Scotiabank (New York, NY)
- …High Yield Bonds, and in some cases, Private Placement and Investment Grade securities to Scotiabank's investing clients. This role will look to grow and support ... activities and decisions. + Actively pursue effective and efficient work-place operations to help ensure the adequacy, and effectiveness of day-to-day business… more
- JPMorgan Chase (Tempe, AZ)
- …complex team-oriented and fast paced environment with advisors, product partners and operations teams to deliver a seamless and integrated approach across all ... products and services **Required qualifications, capabilities, and skills** + FINRA Securities Industry Essentials, Series 7 and Series 63 licenses required for… more
- Wells Fargo (New York, NY)
- …a relationship with internal partners, including product groups, risk and operations , and Renewable Energy & Environmental Finance to achieve goals **Required ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (San Diego, CA)
- …Work in partnership with the Market Leadership Management Team as well as Operations , Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required +… more
- MUFG (Tempe, AZ)
- …suspicious activities in banking and finance services. + Worked in a data entry operations + Knowledge of and ability to utilize tools, techniques and processes for ... 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
- MUFG (Tempe, AZ)
- …backbone of financial and managerial reporting. + **Data & Financial Operations Governance:** Provide support in preparing, tracking, and executing governance ... 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
- Wells Fargo (New York, NY)
- …unit's risk appetite and all risk and compliance program requirements. Wells Fargo Securities , LLC seeks a **VP Lead Investment Banker** in New York, New York. ... the sector, and the technical understanding of their unique asset bases and operations and financial condition; + Ability to analyze historical and project future… more