- OTC Markets Group Inc (New York, NY)
- …(OTCQX: OTCM) operates regulated markets for trading 12,000 US and international securities . Our data-driven disclosure standards form the foundation of our three ... public markets: OTCQX(R) Best Market, OTCQB(R) Venture Market and Pink(R) Open Market. Our OTC Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers… more
- DuPont (Buffalo, NY)
- …and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of ... financing. _ _For further discussion of risks, uncertainties and assumptions that could impact the achievement, expected timing and intended benefits of the separation transactions, see DuPont's_ _announcement… more
- Bank of America (New York, NY)
- …variety of mortgage products, including CRE whole loans and CMBS conduit/SASB securities . The role places a large emphasize on identifying, underwriting, and pricing ... the risks of CRE credit. We would anticipate this candidate to be a key contributor as the desk looks to grow an already strong footprint in the CRE whole loan and credit business. The ideal candidate will have 3-6 years of experience in commercial real… 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
- JPMorgan Chase (New York, NY)
- …lending products, trade, FX and interest rate products, commodity derivatives, Securities Services and Asset Management) as relevant for large global infrastructure ... funds and their portfolio companies. You will be involved in the origination and execution of infrastructure finance deals in close coordination with the Investment Banking coverage, infrastructure finance advisory (IFA) - loan and bond financing, M&A,… more
- TD Bank (New York, NY)
- …& duties are considered essential functions for ADA purposes. **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 services… more
- JPMorgan Chase (New York, NY)
- …and navigates ambiguity to get things done + FINRA Series 79, 63 and Securities Exam Essentials licenses required or must obtain within 180 days of hire **Preferred ... Qualifications, Capabilities and Skills** + Bachelor's degree and formal credit training preferred + Experience working with Capital Markets and Investment Banking products/services JPMorganChase, one of the oldest financial institutions, offers innovative… more
- Citigroup (New York, NY)
- …of key product structures (mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + ... In-depth knowledge of wealth management services, with a focus on estate planning, tax strategies, and business succession for HNW and UHNW clients. + Strong analytical and portfolio management skills, including risk management and compliance expertise. +… more
- KeyBank (Albany, NY)
- …Business Administration preferred *A minimum of 5 years' experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm. ... *FINRA Series 7, 63 & 65 (or 66), 24, and 53 licenses *Health, life, variable insurance licenses for applicable states **Preferred Qualifications:** *Strong knowledge of investment products, including annuities and insurance. Ability to apply financial needs… more
- JPMorgan Chase (Brooklyn, NY)
- …access to global markets for settlements, safekeeping, and asset servicing of securities . Your role will also involve offering ancillary services such as Foreign ... Exchange and Liquidity Solutions. Working in conjunction with our Markets business, you will cater to our core client segments, including Asset Managers, Asset Owners, Insurance/GSEs, Banks/Broker Dealers, and Hedge Funds and Alternatives. Our team is… more