• Client Service Associate

    Raymond James Financial, Inc. (Paramus, NJ)
    …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** + ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… more
    Raymond James Financial, Inc. (08/26/25)
    - Related Jobs

  • Registered Client Associate

    Wells Fargo (Marlton, NJ)
    …offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required + ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
    Wells Fargo (08/24/25)
    - Related Jobs

  • Head of Wealth Portfolio Management and Capital…

    TD Bank (Mount Laurel, NJ)
    …platforms handle + Offers best execution on large block trades or illiquid securities + Assists in the distribution of structured notes, derivatives, custom fixed ... FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be… more
    TD Bank (08/23/25)
    - Related Jobs

  • MIM - Associate - Private Capital

    MetLife (Whippany, NJ)
    …Mortgage Loans, Alternatives, Middle Market Private Capital, and Private Asset-Backed Securities , and is continuing to experience significant growth. Private Capital ... strategies seek to invest in high-quality private debt securities that offer attractive yield potential, portfolio diversification, potential downside protection,… more
    MetLife (08/23/25)
    - Related Jobs

  • Broker Dealer RCSA Consultant

    TEKsystems (Jersey City, NJ)
    …on regulatory risk assessments and institutional financial services. - Regs Focused on: Securities Exchange Act of 1934, FINRA Rule 3110, Rule 15c3-1 (Net Capital ... capital. Rule 15c3-3 (Customer Protection Rule): Protects customer funds and securities . Rule 17a-3 and 17a-4: Recordkeeping and retention requirements. Regulation… more
    TEKsystems (08/22/25)
    - Related Jobs

  • Tax Manager - Banking & Capital Markets

    Deloitte (Morristown, NJ)
    …compliance and consulting services to large global and dynamic midsize banking and securities clients? If you answered "Yes" to any of these questions, you should ... JD, and/or LLM + Previous Big 4 or large CPA firm experience + Banking, securities and/or capital markets experience The wage range for this role takes into account… more
    Deloitte (08/20/25)
    - Related Jobs

  • Regulatory Change Management Officer

    SMBC (Jersey City, NJ)
    …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
    SMBC (08/19/25)
    - Related Jobs

  • Tax Senior - Banking & Capital Markets

    Deloitte (Morristown, NJ)
    …compliance and consulting services to large global and dynamic midsize banking and securities clients? If you answered "Yes" to any of these questions, you should ... + Previous Big 4 or large CPA firm experience + Experience in banking, securities and/or capital market industries The wage range for this role takes into account… more
    Deloitte (08/18/25)
    - Related Jobs

  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (Monmouth Junction, NJ)
    …were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life ... AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of… more
    JPMorgan Chase (08/17/25)
    - Related Jobs

  • Financial Solutions Advisor Registration Candidate…

    Bank of America (Jersey City, NJ)
    …Solutions Advisor Stage I (FSA I)** , your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for your ... Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you will be taught the foundational skills needed to be an advisor… more
    Bank of America (08/16/25)
    - Related Jobs