- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $110,000 - $135,000 USD TD is committed to providing fair ... ability to organize and prioritize workload and drive results **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- SMBC (White Plains, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Raymond James Financial, Inc. (New York, NY)
- …topologies, and technologies. + Principles of banking and finance and securities industry operations. **Skill in:** + Using technical/professional knowledge and ... interpersonal skills to obtain others' commitment to ideas, services, or products. + Strong project and time management skills. + Business and product development, strategic planning, direct client interaction and communication, training and staff development,… more
- KeyBank (NY)
- …business policies and procedures are consistent with current applicable banking and securities rules, regulations, and laws. - Respond to internal and external ... audits, exams and requests for information and provide review & challenge of any line of business responses to internal and external audits. Assist in the evaluation of audit and examination findings and implementation of corrective action and needed… more
- Raymond James Financial, Inc. (New York, NY)
- …Banking. + Fundamental investment concepts, practices and procedures used in the securities industry. + Concepts, practices and procedures of Tax and Accounting. + ... Financial markets and products. **Skill i** **n:** + Communicating effectively, both orally and in writing. + Analytical skills sufficient to assess and explain events in the market. + Problem solving and solution design skills. + Thinking independently and… more
- Janus Henderson Investors (New York, NY)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- Citigroup (Getzville, NY)
- …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
- 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