- 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
- Wells Fargo (Denver, CO)
- …sector as an active member of a deal execution team + Assist with technical due diligence , financial modeling, and credit analysis for new loan originations + ... This position will serve as **CIB Structured Finance Program Analyst ** within Energy & Power. In this role you...not available for transfer upon hire. + Registration for Securities Industry Essentials (SIE) exam must be completed within… 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
- 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
- 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