- Wells Fargo (Syracuse, NY)
- …experience, training, military experience, education + Successfully completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required +...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Citigroup (New York, NY)
- …and secondary disciplines, including the research, trading, and marketing of securities , along with structuring financing solutions across multiple asset classes for ... also structure and execute complex securitization transactions (including Mortgage-Backed Securities , Asset-Backed Securities , and Collateralized Loan Obligations),… more
- Citizens (Rochester, NY)
- Description If you're passionate about a career in Wealth Management, Citizens Securities , Inc. is hiring for the Investment Assistant II role. Citizens ... Securities , Inc. is a high-quality investment services provider, focused...while adhering to all FINRA, CCOIS, CFG and state securities regulations on a daily basis. You are responsible… more
- S&P Global (New York, NY)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- S&P Global (New York, NY)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- Trustco Bank (Albany, NY)
- …pertaining to those companies. + Compares performance of the Bank's recommended securities relative to their benchmarks to determine if the securities ... portfolios in order to determine if and when it is prudent to reallocate securities within a portfolio. + Prepares daily, weekly and monthly reports relative to… more
- Raymond James Financial, Inc. (New York, NY)
- …services environment. + Investment concepts, practices and procedures used in the securities industry. + Principles of finance and securities industry ... and FA practices, business valuation methods and modeling may be required. + Securities rules and regulations in order to conduct proper due diligence analysis of… more
- SMBC (New York, NY)
- …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
- S&P Global (New York, NY)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- KeyBank (Amherst, NY)
- …analyzing data specific to wealth management, trust, private banking, and related securities and banking transactions) and a passion for continuous learning and ... laws, operations, industry trends, emerging issues, and related products (eg banking, securities , trust, etc.) and ability to understand its applicability to data… more