- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …general commercial agreements, including those critical to the operation of a broker -dealer, registered investment adviser, and a bank holding company. * Plans, ... areas. * Advanced investment concepts, practices and procedures used in the securities industry. * Advanced principles of banking and finance and securities… more
- JPMorgan Chase (New York, NY)
- …skills and fosters professional growth. As a Wealth Management Attorney - Assistant General Counsel, Vice President, within our Wealth Management Legal team, you ... critical guidance and support to several of the Firm's broker -dealer and investment advisory business groups for JP Morgan...advisory matters. + Strong knowledge of federal and state securities laws and FINRA rules. + Proven ability to… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and ... Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- First Horizon Bank (Memphis, TN)
- …with trading and operations departments promoting smooth execution and delivery of securities . + Strong ability to multi-task and manage issues arising on a ... + Maintain and encourage means in which to simplify and streamline broker needs. Initiate methods of organization to encourage up-to-date customer/ broker … more
- Wells Fargo (Salt Lake City, UT)
- **About this role:** Wells Fargo is seeking a Lead Brokerage Client Assistant - RCAST & Registered as part of the Remote Client Associate Support Team (RCAST) in ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required +… more
- Wells Fargo (Salt Lake City, UT)
- **About this role:** Wells Fargo is seeking a Brokerage Client Assistant - RCAST & Registered as part of the Remote Client Associate Support Team (RCAST) in Wealth ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required +… more
- The Hartford (Wayne, PA)
- …Group, Inc. and its subsidiaries, which include two registered investment advisers, a broker -dealer, and a transfer agent. Hartford Funds is the sponsor of the ... a General Counsel, five other attorneys, three paralegals, and an executive assistant . Although attorneys in the Hartford Funds Legal Department have areas of… more
- CalSTRS (Sacramento, CA)
- …the goals of the division. Under the general direction of the ES Assistant Director, the Supervisor II oversees the performance and activities of three Supervisor ... 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
- CalSTRS (Sacramento, CA)
- …and year-end accounting period close. Under the general direction of the Assistant Director over the Financial Reporting & Investment Accounting (CEA B), the ... 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