”) is a registered investment adviser with the Securities and Exchange Commission (“SEC”). Aon’s investment consulting business...
all regulatory requirements around these activities Required qualifications, capabilities, and skills FINRA Securities Industry...
problems for our clients. We are a leading global financial services firm providing investment banking, securities..., securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who...
with the Securities and Exchange Commission (“SEC”). Aon’s investment consulting business is a global investment consulting...
activities Required qualifications, capabilities, and skills FINRA Securities Industry Essentials (SIE), Series 7 and 63...
requirements, and securities laws and other applicable global regulatory frameworks. This role is global in scope and requires...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
of structured products, derivatives, fixed-income securities, etc. preferred. Self-starter proactively seeks out solutions...
and other transactional Regulatory Reporting requirements essential Strong knowledge of applicable securities laws, rules and regulations...
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 customer information, trading in securities, anti-money laundering, privacy, and disclosure of outside business activities...
Office of the Illinois Secretary of State Alexi Giannoulias Job Title: Legal Advisor II – Securities Department...; provides legal advice and assistance on regulatory issues involving the registration of securities and exemptions...
Ratings is seeking a Senior Director to join the Residential Mortgage-Backed Securities Group (RMBS) in our Chicago office... is committed to providing global securities markets with objective, timely, independent and forward-looking credit opinions...
JPMorgan is a global leader across investment banking, wholesale payments, markets and securities services. The world...
Preferred Skills/Experience - Basic understanding of syndicated bank loans, fixed income securities, securitization, trading...
/Veterans About the Team: J.P. Morgan's Commercial & Investment Bank is a global leader across banking, markets, securities...
U.S. and Europe in multiple asset classes. Morningstar DBRS rates more than 4,000 issuers and 56,000 securities worldwide...
, markets and securities services. The world's most important corporations, governments and institutions entrust..., markets, securities services and payments. Corporations, governments and institutions throughout the world entrust...
and other transactional Regulatory Reporting requirements essential Strong knowledge of applicable securities laws, rules and regulations...
that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world...