- Charles Schwab (Austin, TX)
- …and Automatic Rollover IRA, as well as oversight and monitoring of Employer Securities . The Specialty Products Manager will serve as a subject matter expert for ... as a backup for Employer Security proxy voting and monitoring of employer securities held Trust Bank accounts + Supporting internal and external audits for CSTB… more
- Bank of America (Cross Roads, TX)
- …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… more
- JPMorgan Chase (Webster, TX)
- …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 (Dallas, TX)
- …skills** + 6+ years of financial services experience + Valid and active Securities Industry Essential Series 7 & Series 66 licenses (63/65), or successfully obtain ... lending in a wealth management division across mortgage, margin, and or securities -based lending + Strong partnership and people skills; collaborate with people… more
- Bank of America (Houston, TX)
- …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66 Exams. Your SIE, Series 7 & 66 must be obtained within 120 days; (63 & 65 accepted, in lieu of 66, if… more
- MUFG (Irving, TX)
- …reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, and metrics and ... 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… more
- Charles Schwab (Westlake, TX)
- …candidates should have: **Required Qualifications:** + 5-7 years legal experience in the securities industry (such as in a large broker-dealer or mutual fund firm) ... mutual fund regulatory filings and ability to research filings on the Securities and Exchange Commission regulatory filing website. + Strong contract drafting skills… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… more
- Charles Schwab (Austin, TX)
- …you with the paid training, study time, and support you need to obtain your Securities Industry Essentials and FINRA Series 7 & 63 licenses. If you are eager to ... + Passion for service to clients + Motivation to learn about the securities industry, including the basic principles of equity, option, and mutual fund transactions… more
- MUFG (Irving, TX)
- …focused on evaluating effectiveness of controls and compliance with Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), ... 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… more