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Trinidad and Tobago
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How did you learn about the job opportunities at Piper Jaffray?
Carlson Career Fair
Former PJ Employee
MN Private Colleges Fair
NAACP Career Fair
Other (Please Specify)
Piper Jaffray Intranet
Piper Jaffray Website
Search Firm/Temp Agency
St. Cloud State Diversity Career Fair
Women in Finance Forum
WSJ.com FINS Virtual Career Fair
Other (Specify Source):
Are you willing to travel:
Are you willing to relocate:
If hired, can you submit verification of your U.S. citizenship or proof of your legal right to live and work in this country without any restrictions as to the length of the employment period? (Answer no if you are in a non-immigrant status such as H, L, E, TN, B or F.)
Able to Produce Documentation:
I am authorized to work in this country for any employer
I am authorized to work in this country for my present employer only
I require sponsorship to work in this country
My status to work in this country is unknown
Have you ever received a conditional job offer from Piper Jaffray, that was subsequently withdrawn? (Note: You may not be eligible to reapply for another position if you have had a conditional job offer withdrawn within the last twelve months.)
Have you ever been employed by any Piper Jaffray affiliate or company purchased by Piper Jaffray? If yes, where and when?
Yes, I have previously been employed
No, I have not previously been employed
I am currently employed with Piper Jaffray or an affiliate
If Yes, when and where?:
I have a family member who is a current employee of Piper Jaffray or one of its affiliates.
Have you ever been employed or are you currently employed by Ernst & Young?
Ernst & Young:
Have you ever been discharged, suspended, terminated, or allowed to resign prior to termination?
If yes, please explain.
Have you ever been employed under another name and if so, what name?
Other names used:
Are you under 18 years of age?
Highest Education Level:
High School Diploma / GED
Trade or Technical School Diploma
Employment History :
Securities License - To be completed only if you are currently or have been securities licensed.
Licenses, certifications, or other special qualifications (other than registration through FINRA)
If you have obtained any special skills or abilities as the result of service in the military, please describe.
No applicant will be denied employment solely on the grounds of a conviction of a criminal offense. The nature of the offense, the date of the offense, the surrounding circumstances and the relevance of the offense to the position applied for may, however, be considered. A dishonest answer or an omission may result in a refusal to hire or, if hired, immediate dismissal. Piper Jaffray is not seeking information about the following convictions: (1) convictions for certain marijuana-related convictions that are more than two years old; (2) convictions that have been sealed, expunged, or eradicated; and (3) certain misdemeanor convictions for which probation has been completed or otherwise discharged and the case dismissed.
Please note: Under Philadelphia, Massachusetts, Minnesota, Portland, OR and San Francisco law, an employer is prohibited from making written, pre-employment inquiries of an applicant about his or her criminal history. If you are applying for a position in Philadelphia, Massachusetts, Minnesota, Portland, OR or San Francisco, please choose “I am a Philadelphia, Massachusetts, Minnesota, Portland, OR or San Francisco applicant” from the drop down boxes below.
(1) Have you ever been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to any felony?
(2) Have you ever been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(3) Based upon activities that occurred while you exercised control over it, has an organization ever been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to any felony?
(4) Based upon activities that occurred while you exercised control over it, has an organization ever been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to a misdemeanor specified in (2)?
If you have answered “yes” to any of the four questions above, explain the nature and location of the offense, date and disposition of the case. You should also provide any documentation relative to the offense. If you are uncertain as to whether the violation should be included, please list it.
Please read the following statements, and sign where indicated to signify your understanding. If you need clarification on any statement, please ask before signing.
Drug-Free Workplace Policy Summary
Piper Jaffray recognizes that alcohol and drug abuse adversely affects job performance and safety in the workplace. We believe that a productive and safe work environment is in the best interest of our employees, our clients and our shareholders. Therefore, it is the Company’s policy to maintain a workplace free from the use and abuse of drugs and alcohol. The Company requires that all employees and applicants participate in, consent to and comply with the terms of this Policy as a condition of employment and continued employment. This statement is only a summary of the Policy. Upon request, a copy of the complete Policy, which establishes and governs the Company’s expectations in this area, will be provided to you if a conditional offer of employment has been extended.
This Policy applies to all applicants for employment and to all employees, including contract or employees of temporary employment agencies. The Policy is applicable at all company facilities and on all company premises, in company vehicles, or wherever company employees are performing company business.
Employee drug and alcohol testing may occur, except where limited by law, where there is reasonable cause that an employee is under the influence of drugs or alcohol, post-accident, return-to-duty, follow-up or rehabilitation/treatment program testing. Piper Jaffray will use only certified laboratories to conduct testing. Test results will be kept confidential and used only for business purposes.
Employees may refuse to submit to a drug and/or alcohol test; however, refusal may result in disciplinary action up to and including termination. Individuals tested may explain a positive test result on a confirmatory test or request and pay for an additional confirmatory test using the same specimen. Positive test results may result in an employee being referred for a substance abuse assessment or rehabilitation program and/or being subject to disciplinary action, up to and including termination.
Fingerprinting & Bonding
I understand that as a condition of employment, I will be fingerprinted at the time of hire. This is done to comply with Rule 17f-2 under the Securities Exchange Act of 1934 to avoid statutory disqualification. Employment of any person with certain criminal offenses may require prior written consent from FINRA. If at any time during my employment, Piper Jaffray is unable to obtain bonding for me under its standard blanket bond, I understand my employment with Piper Jaffray may be terminated.
Proof of Eligibility For Work
I understand that if I am hired, I must be able to prove my identity and my eligibility to work in the United States using forms and documentation deemed acceptable by the Department of Homeland Security. I acknowledge that failure to do so may constitute grounds for termination.
If state law requires me to furnish a work permit because I am under the age of 18, I will do so no later than my first day of employment.
Because of the potential for conflicts of interest, the appearance of favoritism and other issues, Piper Jaffray reserves the right to prohibit or restrict the employment of relatives.
I understand that nothing in this application is intended to imply or create a contract for employment. I further understand that, if hired, my employment will be at-will and may be terminated by me or by Piper Jaffray at any time, with or without notice, for any reason or no reason at all, and that the terms of my employment, compensation or benefits may be changed at any time, without advance notice or my consent. I also understand that while personnel policies and procedures may necessarily change from time to time, no representative of Piper Jaffray has the authority to enter into any agreement with me which alters my status as an at-will employee or to guarantee some other benefit, unless approved in writing by the Head of Human Resources or his or her designee.
Piper Jaffray Companies are subject to a variety of anti-bribery laws from the various jurisdictions in which we conduct business. All Piper Jaffray Company officers, employees, and agents are prohibited from providing (or offering to provide) anything of value, either directly or indirectly, to anyone for the purpose of influencing a decision, to obtain or retain business, to influence an official action, or to obtain an unfair advantage. Under these provisions, the employment of family members of employees or officials of governments or political parties by Piper Jaffray requires disclosure.
I understand that if hired, I will be required to disclose to Piper Jaffray information about any family members who are employees or officials of a government or political party of any country.
I have a family member(s) who is an employee or official of a government or political party of any country.
I certify that all statements I have made on this application are true and complete;
I have withheld nothing that would, if disclosed, affect this application unfavorably.
I understand that any omission or misrepresentation of fact may result in refusal of employment or immediate termination;
this employment application and any other Company documents or manuals do not constitute contracts of employment and any oral or written statements to the contrary are hereby expressly disavowed and should not be relied upon by me. I authorize the investigation of all statements I have made in this application;
the release of references, grade transcripts, drug testing results, criminal background inquiry reports and additional information pertinent to my employment;
the solicitation of any and all information from previous employers, colleagues and other persons concerning previous employment and any pertinent information they may have.
I release Piper Jaffray, its subsidiaries and/or affiliates, including all of its officers agents, representatives and employees, for any and all liabilities and damages arising out of submission to a drug test or a criminal background inquiry and consumer report obtained for employment purposes.
All parties from all liability for any damage that may result from furnishing any of the information authorized above.
I hereby acknowledge that I have read and understand the above statements.
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Resume, Bio, Cover Letter & Other Attachments
Your resume can be uploaded in any of the following formats: DOC, DOCX, RTF, PDF, TXT, HTML.
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Voluntary Equal Opportunity Questionnaire
It is the policy of Piper Jaffray to prohibit both discrimination against and harassment of any applicant without regard to race, creed, religion, color, age, sex, national origin or ancestry, sexual orientation, disability, veteran status, or other factors identified and protected by federal, state, and local legislation.
The information requested below will be used only to fulfill our federal and state reporting obligations, and will in no way affect the decision regarding your application for employment. The race categories are defined by the federal government. This sheet will be kept confidential and will be retained separately from your application form.
Disclosure of this information is voluntary and is not a requirement for employment. Although this information is voluntary, your cooperation and assistance in our efforts to ensure equal employment opportunity is appreciated.
Choose Not to Disclose
Choose Not to Disclose
Hispanic or Latino
White (not Hispanic or Latino)
Black or African American (not Hispanic or Latino)
Native Hawaiian or Other Pacific Islander (not Hispanic or Latino)
Asian (not Hispanic or Latino)
American Indian or Alaska Native (not Hispanic or Latino)
Two or More Races (not Hispanic or Latino)
Vietnam Era Veteran
Special Disabled Veteran
Other Protected Veteran
Newly Separated Veteran