- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $170,000 - $208,000 USD TD is committed to providing fair ... such as section 265, section 871(m), tax treaties, structured notes, BEAT, Pillar 2 , REIT compliance, branch taxation issues + Providing tax advice with respect to… more
- Wells Fargo (MA)
- **About this role:** Wells Fargo is seeking a Lead Securities Quantitative Analytics Specialist at the VP level to join a team of 'data strats' in analyzing and ... and compliance requirements **Required Qualifications, US:** + 5+ years of Securities Quantitative Analytics experience, or equivalent demonstrated through one or a… more
- Wells Fargo (Houston, TX)
- **About this role:** The Lead Securities Quantitative Analytics Specialist is a Vice President level role within the Corporate & Investment Banking organization ... for less experienced staff **Required Qualifications:** + 4+ years of Securities Quantitative Analytics experience, or equivalent demonstrated through one or a… more
- Raymond James Financial, Inc. (New York, NY)
- …clients and provide advanced support to assigned Institutional Equity Specialist . Maintains contact with Institutional Investors (clients) to, among other ... of investment concepts, practices and procedures used in the securities industry + Principles of banking and finance and...Economics or related field and a minimum of two ( 2 ) years of institutional equity sales experience. + OR… more
- Truist (Norcross, GA)
- …deliver a level of personalized, attentive service that clients deem outstanding. 2 . Establish and periodically update understanding of client financial needs and ... banking or equivalent financial services experience and related training. 2 . Minimum of six years of financial services experience...for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, 66 (63… more
- First National Bank of Omaha (Omaha, NE)
- …**_Job Requirements_** + Bachelor's degree in Business or related degree. + 2 + years of compliance audit or compliance management experience with a bank ... or financial institution(2LOD/Compliance related role). ( Securities Trading, Wealth Management, or Non-Consumer Banking related compliance would not be considered… more
- Louisiana Department of State Civil Service (LA)
- …Savings and Loans, Credit Unions, Holding Companies, Trust Companies, Securities Firms, Licensed Lenders, Payday Lenders, Mortgage Companies, Pawnbrokers, ... may be filled from this recruitment as a Compliance Examiner 1, a Compliance Examiner 2 , a Compliance Examiner 3, or a Compliance Examiner 4 depending on the level… more
- MUFG (Tempe, AZ)
- …to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a( 2 ) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the ... requirements, define patterns, and ensure compliance with governance standards. The specialist will also be responsible for reporting and analyzing data security… more