- Principal Financial Group (Des Moines, IA)
- …You will also provide day-to-day support to Principal's dually-registered retail broker -dealer and investment adviser, Principal Securities . In this role, ... join our legal team to lead regulatory examinations, and to assist our retail broker -dealer with its legal needs. This attorney will partner with the business units,… more
- Iowa Department of Administrative Services (Des Moines, IA)
- Surveillance Analyst - Administrative Assistant 2 Print (https://www.governmentjobs.com/careers/iowa/jobs/newprint/4923980) Apply Surveillance Analyst - ... Administrative Assistant 2 Salary $48,422.40 - $71,198.40 Annually Location Des...to join its team! The Division enforces the Iowa Securities Act to ensure a safe and efficient … more
- TD Bank (New York, NY)
- …Director, US Finance, US wholesale corporate accounting **Business Unit:** TD Securities **Division/Region:** TD Securities USA (New York) **Report Location:** ... New York Office TD Securities is looking for a highly skilled and technology...New York City. This role reports directly to the Assistant VP who runs the US wholesale controllers' group… more
- CalSTRS (Sacramento, CA)
- …other legal units on an as-needed basis. Under the direction of the Assistant General Counsel and administrative direction of the General Counsel or Deputy General ... Branch, you will be required to disclose your personal broker account information and be required to utilize a...information and use of a designated trading platform for securities transactions, as well as filing a Statement of… more