- Aegon Asset Management (Denver, CO)
- …more information, visit transamerica.com . Job Description Summary Perform analysis, due diligence , implementation management, and ongoing monitoring of product ... product analysis + FINRA Series 6 or 7 for securities product analysis + Thorough understanding of individual term...and for broker-dealer or RIA + Experience supporting product due diligence + Analytical and research skills… more
- Aegon Asset Management (Denver, CO)
- …policies, regulatory requirements, and industry best practices. + Oversee pricing vendor due diligence and evaluate pricing sources for accuracy and reliability. ... Exchange Group (LSEG) + Familiarity with regulatory frameworks such as Securities and Exchange Commission (SEC), International Financial Reporting Standards (IFRS),… more
- Janus Henderson Investors (Denver, CO)
- …and responses to compliance content in requests for proposals (RFPs) and due diligence questionnaires (DDQs) + Administer policy management system and ... own, we would love to hear from you! Your opportunity The Senior Compliance Analyst performs a variety of activities in the Corporate Compliance group related to the… more
- Raymond James Financial, Inc. (Denver, CO)
- …and participation in drafting sessions, new business proposal sessions, and due diligence meetings. **Essential Duties and Responsibilities** + Develop ... Banking. + Fundamental investment concepts,practicesand procedures used in the securities industry. + Concepts, practices and proceduresofTax and Accounting. +… more
- S&P Global (Boulder, CO)
- …will be provided with an unrated company or entity and will be responsible for all due diligence and research, in order to develop a suggested credit rating for ... an offer_ **About S&P Global Ratings** At S&P Global Ratings, our analyst -driven credit ratings, research, and sustainable finance opinions provide critical insights… more
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