- Raymond James Financial, Inc. (Memphis, TN)
- …Under general supervision, uses intermediate level knowledge and skills in securities trading /sales obtained through experience and/or training to assist ... industry practices and procedures. + Concepts, principles and practices of securities trading /sales. + Procedures for processing trades. **Skill in** +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and responsibilities as assigned. **Skills** + Concepts, practices, and procedures of securities trading . + Basic investment concepts, practices, and procedures ... at our Saint Petersburg, FL corporate office._ As a Trading Support Associate III, you will apply advanced knowledge...used in the securities industry. + Accounting principles and procedures. + Mathematical… more
- TD Bank (New York, NY)
- …Description:** The Analyst/Associate - TBM is responsible for helping TD Securities trading businesses achieve best-in-class strategies, operating processes, ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $75,000 - $85,000 USD TD is...controls and infrastructure. This position supports the trading /sales managers and business heads at the Dealer, providing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …knowledge of managed account practices. + Principles of banking and finance, securities industry trading , and operations. + Knowledge of products, including ... You will be a member of the AMS Freedom Trading team. As the Portfolio Reviewer I, you will...Experience** General Experience - 4 to 6 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory… more
- Raymond James Financial, Inc. (Memphis, TN)
- …knowledge of managed account practices. + Principles of banking and finance and securities industry trading and operations. + Knowledge of products, including ... You will be a member of the AMS Freedom Trading team. As the Portfolio Reviewer I, you will...Experience** General Experience - 4 to 6 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory… more
- Raymond James Financial, Inc. (Memphis, TN)
- …knowledge of managed account practices. + Principles of banking and finance and securities industry trading and operations. + Knowledge of products, including ... days a week at our Memphis, TN corporate offices._ As part of the AMS Trading team, the Portfolio Reviewer I role uses knowledge and skills obtained through work… more
- Raymond James Financial, Inc. (Memphis, TN)
- …their implementation. + Investment concepts, practices, and procedures used in the securities industry. + Market trading practices of products, including ... TN, corporate office._ Provides direction, leadership, and support for AMS UMA Trading Operations. Implements business plans and ensures policies and procedures are… more
- Raymond James Financial, Inc. (New York, NY)
- …and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of** + Securities trading , Rules, and regulations of the SEC, and FINRA. ... and operations of the Equity and Options sales and trading . Review Market Access day-to-day trading activity...+ Detailed knowledge of securities supervisory concepts, FINRA Rule 3110 and how it… more
- Robert Half Finance & Accounting (Chicago, IL)
- …the SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations. Primary Responsibilities will include: + Data Collection and ... experience, ideally in broker-dealer regulatory reporting + Deep understanding of securities markets, trading mechanisms, and relevant financial instruments. +… more
- TD Bank (New York, NY)
- …Strategy & Surveillance, you will represent the Global Head of Electronic trading with the accountability to enable smooth day-to-day business operations as well ... As an extension of the Global Head of Electronic trading , you will act as a singular point of...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Robert Half Technology (New York, NY)
- …Files, Multiple Vendors, External Vendor, Communication Skills, Equity Trading , Derivatives Trading , Securities Trading , Trading Floor, Trading ... team in providing immediate hands-on support for Equity Principal Trading and Cash desks. * Owns the enablement of...* Ability to navigate high touch traders in EQ trading floor to support Cash Equities/Swaps/Derivatives traders * Know… more
- SMBC (New York, NY)
- …+ Good understand of capital markets products (interest rate swaps, fixed income securities ) + Good understanding of electronic trading + Experience related to ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- TD Bank (Lake Mary, FL)
- …of the Client Enablement team is to manage and maintain client data across TD Securities trading systems. We are a diverse and talented team that provides an ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $55,000 - $65,000 USD TD is...trading , investment, and corporate banking functions of TD Securities . Within our core values, we champion a culture… more
- Raymond James Financial, Inc. (NJ)
- …Loanet / Smartloan or similar systems. + Concepts, principles and practices of securities trading /sales. + Re-org and dividend requirements relating to shares ... Under general supervision, uses specialized knowledge and skills in securities lending/sales obtained through training, certification and experience to assist… more
- Robert Half Management Resources (Nashville, TN)
- …to combating financial crimes. The ideal candidate will have experience in securities trading , fraud detection, and regulatory compliance, particularly with the ... cases, ensuring compliance with BSA and AML regulations. * Analyze securities trading activities to identify unusual patterns or transactions that may indicate… more
- S&P Global (Princeton, NJ)
- …benefits we provide to our employees, visit spgbenefits.com _._ _S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate ... conflicts of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global… more
- Capital One (Mclean, VA)
- …or a combination + Working knowledge of capital markets transactions and securities trading documentation + Familiarity generally with Treasury related ... asset liability management teams, risk management and a variety of securities and derivatives projects, including capital markets transactions. This position… more
- Citigroup (Getzville, NY)
- …laws, rules, regulations, risks and typologies + A general understanding of securities trading and corresponding regulations with proven ability to prioritize ... portfolios including trade surveillance, e-communications and voice surveillance, employee trading , information barrier surveillance, and registration and licensing compliance.… more
- SMBC (Jersey City, NJ)
- …knowledge of products and services offered by global banks (eg, lending, deposits, securities trading , swaps). + Prior experience working in a third-party risk ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Citigroup (Jersey City, NJ)
- …capital market products including OTC securities , listed derivatives, equity securities , and regulatory requirement across trading and back-office systems in ... Markets products: Over-the-Counter (OTC) securities , Listed Derivatives, and Equity securities ; Equity products trading technology and financial trading … more