- 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
- Citigroup (Irving, TX)
- …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
- US Bank (Houston, TX)
- …Skills/Experience - Basic understanding of syndicated bank loans, fixed income securities , securitization, trading or mutual funds - Ability to identify and ... resolve exceptions and to interpret data - Effective interpersonal, verbal and written communication skills - Ability to perform multiple tasks and meet established deadlines in a dynamic working environment with minimal supervision - Proficient computer… more
- MUFG (Irving, TX)
- …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
- Truist (Houston, TX)
- …* FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance ... licenses * 5 or more years of sales and client management experience in Wealth Management and a demonstrated ability to manage a portfolio of affluent and high net worth clients * Successful track record using interpersonal, sales, presentation and… more
- Bank of America (Dallas, TX)
- …while leading with a client first mindset **Required Qualifications:** + FINRA Securities Industry Essentials (SIE), Series 7, 63/65 or 66 + Displays advanced ... industry knowledge and understanding of investment products **Desired Qualifications:** + Energetic individual that is self-motivated, coachable and flexible in thought + Enjoys a fast-paced environment with changing and evolving responsibilities + Detail… more
- JPMorgan Chase (Lindale, 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