- Bank of America (New York, NY)
- …increases, while leading with a client first mindset **Required Qualifications:** + FINRA Securities Industry Essentials (SIE), Series 7 & 66 (or combination of BOTH ... 63 & 65) + Displays advanced industry knowledge and understanding of investment products **Desired Qualifications:** + Previous wealth management client associate experience strongly preferred + Energetic individual that is self-motivated, coachable and… more
- Bank of America (New York, NY)
- …and providing leadership in a high risk environment. + Strong understanding of securities regulations (eg, SEC, FINRA, FCA, IIROC, CVM, etc.) and global compliance ... frameworks. + Demonstrated leadership skills with prior experience managing teams. + Excellent communication, analytical, and problem-solving skills. + Ability to manage competing priorities and operate in a fast-paced, global environment. + High ethical… more
- Insight Global (New York, NY)
- …market risk and liquidity risk - Familiarity with regulatory aspects of mortgage-backed securities , non-agency residential whole loans and/or structured finance ... These loans focus on non-agency Jumbos. The product will involve both buying/selling whole loans and packaging and selling pools of residential mortgages into securitized instruments. The candidate will interface with key business units including operations,… more
- Raymond James Financial, Inc. (New York, NY)
- …**Knowledge of:** Financial advisor business models and practice structures. Securities industry regulations and compliance standards. Recruitment and talent ... acquisition strategies in financial services. Strategic planning and performance management. Business development and relationship management best practices. **Skill in:** Leading and developing high-performing teams. Communicating effectively with internal… more
- Mizuho Corporate Bank (New York, NY)
- …cultivation of client relationships. Qualifications: + Knowledge of corporate finance, securities , financial markets and risk & pricing analysis + Aptitude to ... synthesize large amounts of information and develop innovative ideas and/or product solutions + Ability to manage multiple projects simultaneously + Ability to work under pressure and adhere to tight deadlines + Strong written and oral communication skills and… more
- Bank of America (New York, NY)
- …other downstream + Monthly Independent Price verification on both Derivatives and securities positions. Have a basic understanding and knowledge of financial models, ... + Calculation of the Valuation adjustment - Validation of appropriate application and use of models for books & records. + Maintaining/updating valuation adjustment & IPV Desk Level Procedures (DLP) + Preparation monthly & quarterly revenue and balance sheet… more
- Bank of America (New York, NY)
- …reference the job title of the role and requisition number. **EMPLOYER:** BofA Securities , Inc. **Shift:** 1st shift (United States of America) **Hours Per Week:** ... 40 Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national… more
- Wells Fargo (New York, NY)
- …check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which ... states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. **Pay Range** Reflected is the… more
- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Edward Jones (New York, NY)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview… more