- Raymond James Financial, Inc. (San Antonio, TX)
- …and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** + ... + High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience,… 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
- 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
- Thrivent Financial (Beaumont, TX)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- Wells Fargo (The Woodlands, TX)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Obtaining ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… 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
- S&P Global (Dallas, TX)
- …and complex processing of all core post-trade services. These include asset servicing, securities and cash processing, and post trade analytics. Our team of experts ... supports our global customer base from offices in Dublin, New Delhi (Gurgaon), Singapore and Dallas. The Product Specialist provides support and consultancy services to our clients for resolution of software and data issues. The Client Experience team work… more
- Wells Fargo (Dallas, TX)
- …check. Internal transfers are subject to comply 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. Specific compliance policies may… more
- Bank of America (Fort Worth, TX)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... derivatives across multiple Lines of Business. Key responsibilities include carrying out duties under general supervision and assisting teammates while following established procedures. **Responsibilities:** + Maintains accuracy of client portfolio using… more
- Edward Jones (Marshall, TX)
- …degree is strongly preferred or equivalent work-related experience within the securities /financial services industry + Financial services and/or sales experience + ... Financial services registration, licensing, or certification + Professional and/or military career progression **Licensing:** + SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not currently registered,… more