- 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
- 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 (Port Jefferson, NY)
- …assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance ... licenses required + As an associate, you are required to complete all ongoing training offered by the firm and regulatory authorities, as well as required training to maintain license in good standing Read More About Skills/Requirements **Awards & Accolades**… more
- Guardian Life (New York, NY)
- …of the laws, regulations, products, and ethical standards of the securities industry. **You will** + Make independent suitability decisions when reviewing ... and approving an array of transactions including, but not limited to, brokerage accounts at account opening and annuity purchases + Consistently enforce compliance policies and guidelines and escalate concerns when it is appropriate to do so + Work closely… more
- JPMorgan Chase (New York, NY)
- …and collateral management processes + Oversee and direct pledge of CIO NA securities to various internal counterparties + Participate in firm relationships with the ... FRB Discount Window and Federal Home Loan Banks, staying apprised of reforms in the industry + Assist with and serve as a point of contact for intercompany and collateral related processes **Required qualifications, capabilities and skills:** + Degree in… more
- TD Bank (New York, NY)
- …proficiency with spreadsheets, reporting tools and presentation software **Who We Are** TD Securities offers a wide range of capital markets products and services to ... corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our… more
- US Bank (New York, NY)
- …retirement planning, and education funding + Extensive knowledge of the securities industry, including investment and insurance products and services + Knowledge ... of private banking products and services, including credit processes and policies + Strong presentation abilities + Strong relationship management, sales, and new business development skills + Well-developed analytical and problem-solving skills + Excellent… more
- Edward Jones (Greene, NY)
- …required; Bachelor's degree preferred + 3-5 years of relevant experience in securities /financial services industry preferred + Series 7 and Series 66 required; if ... not currently registered, registrations may be obtained at Edward Jones during the assigned study period + FINRA registrations are required within three months. State insurance licenses are also required As an associate, you are required to complete all… more
- Citigroup (New York, NY)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- JPMorgan Chase (New York, NY)
- …Finance business on all relevant legal and regulatory matters, including relevant securities laws and the SEC's Municipal Advisor Rule, fair access and related ... issues. + Serve on both the Public Finance underwriting commitments committee and engagements committee. + Review and negotiate certain agreements related to financings, bond underwritings, tenders, exchanges, private placements and direct purchases, such as… more