- 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
- Charles Schwab (Westlake, TX)
- …partners to ensure timely and accurate settlement of large cash and securities transactions. + Support the implementation and ongoing improvement of trading and ... best practices, collateral management (eligibility, margin, substitution), and asset-backed securities processing. Familiarity with derivatives (eg, interest rate swaps)… more
- Principal Financial Group (Houston, TX)
- …licensing needed for all non-resident states in which business will be conducted. ** Securities exams and IAR appointment include:** + Series 7 and 63 or equivalent, ... and/or 66 as required by applicable state law to become IAR with Principal Securities , Inc. + Refer to Principal Advisor Network Licensing/Exam Policy for the time… more
- JPMorgan Chase (Plano, 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 ... AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of… more
- Thrivent Financial (San Antonio, TX)
- …situations). These licenses include: + Resident state Life, Health and Annuity + Securities Industry Essentials + Series 6/63 or 7/66 (7/63 and 65). After completing ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… 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
- 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
- Insight Global (Dallas, TX)
- …program in accordance with the rules and regulations of the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). ... key role in ensuring that the fund's operations comply with applicable federal securities laws, internal policies, and industry best practices. The Deputy CCO will… more
- Mizuho Corporate Bank (Houston, TX)
- …management and strategic transaction development to execute banking and securities mandates and originate idea generation for potential acquisitions, divestitures ... some upstream technical experience is preferred + Knowledge of corporate finance, securities , financial markets and risk & pricing analysis + Must have experience… more
- JPMorgan Chase (Lubbock, TX)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more