- Capco, a Wipro Company (New York, NY)
- **About the Job:** As a Principal Consultant - Capital Markets Regulatory Initiatives, you will work alongside industry experts within FRC and our Capital ... group in a fast-paced team setting. This role is based in New York at requires ability to work...examples include SEC rules for US treasury central clearing, securities lending transparency (SEC 10c-1), and securitization conflicts of… more
- Principal Financial Group (Elkhorn, NE)
- …24, 65 and/or 66 as required by applicable state law to become IAR with Principal Securities , Inc.'s RIA + Refer to Principal Financial Network ... and Green Card for Employment- Based Immigrants (https://www.uscis.gov/green-card/green-card-eligibility/green-card-for-employment- based -immigrants) **Investment Code of Ethics** For Principal… more
- Deloitte (Dallas, TX)
- …Have a passion for current trends in accounting and finance? As an Advisory Senior Consultant - Securitization CLO at Deloitte, you'll be part of a core team that ... throughout the lifecycle of the transaction. Work you'll do :As a Senior Consultant in our Deloitte Advisory Securitization practice, you will perform agreed upon… more
- US Bank (Denver, CO)
- …from Day One. **Job Description** Provides direct sales supervision of securities transactions and new accounts. Ensures internal compliance polices, procedures and ... and regulations. Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance polices.… more
- Raymond James Financial, Inc. (FL)
- …regulation pertaining to fiduciaries. * IRS Gift and Estate Tax Code laws, Uniform Principal and Income Act (UPAIA), and general Trust Laws, rules and regulations. * ... process. * Fundamental investment concepts, practices and procedures used in the securities industry. * Principles of banking and finance and securities … more
- US Bank (St. Paul, MN)
- …FUNCTIONS** **1. Works closely with the Market Leader and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance polices.** ... **2. Acts as the primary compliance consultant /resource for assigned location, business unit(s), or product(s) with respect to trade related questions, consulting,… more
- Principal Financial Group (Des Moines, IA)
- …as information privacy consultant for our Benefits & Protection Principal Securities business segments, provide program management and business ... **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities . In this role, you'll serve… more