- Usaa (Plano, TX)
- …with Health, Life or Retirement Income. Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities ... Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits. Responsible for the implementation and sustainment of seasonal surge strategies through internal and… more
- Fidelity (Covington, KY)
- …Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment ... Company Act of 1940, ERISA, numerous state laws governing securities , investment and retirement-related financial activities and the rules and regulations of… more
- Fidelity (Covington, KY)
- …Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment ... Company Act of 1940, ERISA, numerous state laws governing securities , investment and retirement-related financial activities and the rules and regulations of… more
- United Nations Federal Credit Union (New York, NY)
- …modifications to databases. Follow the organization's data protection and network securities and antivirus policies. May need to demonstrate familiarity with ... dimensional models such as SSAS cube and tabular model. May need to demonstrate knowledge of some shell scripting language. Stay abreast of industry trends, and attend training, conferences and seminars according to organization's business requirements.… more
- Charles Schwab (Newport Beach, CA)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. What you have Required Qualifications: * A valid and active FINRA Series 7 license required * Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your… more
- United Nations Federal Credit Union (New York, NY)
- …for modifications to databases. Follow the organization's data protection and network securities and antivirus policies. Stay abreast of industry trends, and attend ... training, conferences, and seminars according to organization's business requirements. Participate in Credit Union training and development programs. Perform additional responsibilities as assigned. Ensure compliance with federal and state laws and regulations… more
- Charles Schwab (Plantation, FL)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. What you have Required Qualifications: * A valid and active FINRA Series 7 license required * Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your… more
- Charles Schwab (Albuquerque, NM)
- …consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team?setting, and share our passion for ... serving clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required?? Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on… more
- Charles Schwab (Huntersville, NC)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required?? Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure… more
- SG Americas Securities, LLC (New York, NY)
- Finance: QIS (Quantitative Investment Strategies) Product Specialist sought by SG Americas Securities , LLC in New York, NY to partner closely w/ financial engineers ... to develop marketing materials that clearly articulate cross-asset hedging & investment solutions. Reqs up to 5% domestic travel. Partial telecommuting permitted; on-site at 245 Park Ave., New York, NY 10167 when not telecommuting. Salary All the relevant… more
- BofA Securities, Inc. (New York, NY)
- VP, Investment Banker sought by BofA Securities , Inc. All candidates should make sure to read the following job description and information carefully before ... applying. to support the origination & execution of investment banking transaction mandates for large-cap corporate clients in the Natural Resources sector, such as buy & sell-side M&A, incl. cross-border transactions, & cap mrkts processes, incl. debt &… more
- Charles Schwab (Asheville, NC)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure… more
- BofA Securities, Inc. (Jersey City, NJ)
- …has an oppty for a Director; EAC Compliance & Operational Risk Manager to review Investment Banking ("IB") transactions for potential addition(s) to the Watch List ... &/or Restricted List. Follow up with Investment Banking to receive deal updates & manage day-to-day Control Room processes. Remote work may be permitted w/in a commutable distance from the worksite. Reqs: Bach. or equiv. & 6 yrs exp. in: Handling advanced… more
- HUB International (Chicago, IL)
- …ROLE** Join our growing team! Hub is looking for an **Associate General Counsel, Securities and Deputy Corporate Secretary** , who will play an important role in the ... preparation for future securities offerings and advise on a wide range of...offerings and advise on a wide range of other securities -related matters, including regulatory compliance, SEC and SOX compliance,… more
- JPMorgan Chase (New York, NY)
- …for a top tier financial institution that does cutting-edge work. As a Securities Services Attorney - Executive Director on JPMorgan's Securities Services legal ... team, you will provide legal support across our diverse Securities Services business. While the full platform includes Custody, Fund Services, ETFs, Agency … more
- Wells Fargo (Charlotte, NC)
- …this role:** Wells Fargo is seeking a Wells Fargo is seeking a Senior Securities Operations Specialist for our Operational Risk Services Team. The team sits within ... challenge, and provides End-User Computing Tools (EUCT) policy support. As a Senior Securities Operations Specialist, you will play a key role in identifying and… more
- Citigroup (Tampa, FL)
- Agency Lending is part of the overall Securities Services Business unit. The ASL Business facilitates the temporary transfer of securities from a lender to a ... borrower against collateral ( securities or cash), enabling beneficial owners to generate incremental income on their portfolio securities . The services provided… more
- ManpowerGroup (New York, NY)
- …client, a leading organization in the financial services industry, is seeking a Securities Operations Analyst - TRADE/Finance to join their team. As a Securities ... Operations Analyst - TRADE/Finance, you will be part of the Securities Operations department supporting trade and financial activities. The ideal candidate will… more
- 3M (Maplewood, MN)
- **Job Description:** **Director, Assistant General Counsel - Corporate & Securities ** **Collaborate with Innovative 3Mers Around the World** Choosing where to start ... this Role** As Assistant General Counsel - Corporate & Securities , you will have the opportunity to tap into...world. Here, you will make an impact by: + Securities law expertise - counseling in the area of… more
- Deloitte (Raleigh, NC)
- Senior Consultant - Securitization Capital Markets (Commercial Mortgage-Backed Securities Focus) Audit & Assurance - Securitization Capital Markets Services ... procedures on new issuance securitization transactions across Agency Mortgage-Backed Securities (MBS), Asset-Backed Securities (ABS), Commercial Mortgage-Backed … more
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