- SMBC (Charlotte, NC)
- …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
- Wells Fargo (Charlotte, NC)
- …equivalents) + Certified Financial Planner (CFP) or Chartered Alternative Investment Analyst (CAIA) + Microsoft Office (Word, Excel, and Outlook) skills **Job ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required +...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- SMBC (Charlotte, NC)
- …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
- Wells Fargo (Charlotte, NC)
- …institutions, and wealth management clients - ensuring efficient processing of securities transactions, cash transactions and loans. The team also manages the ... may result in an offer into the 2-year rotational analyst program. **Program Overview** The summer internship program is...to return the following year to join the full-time Analyst Program. **Ideal candidates for this role must have… more
- Wells Fargo (Charlotte, NC)
- …Wells Fargo is seeking a CIB Data Product Owner (Senior Data Management Analyst ) to work within the Corporate and Investment Banking (CIB) Data management ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Wells Fargo (Charlotte, NC)
- …US **About this role:** Wells Fargo is seeking a **Senior Data Management analyst ** to work within the Corporate and Investment Banking (CIB) Data management ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Truist (Greensboro, NC)
- …and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu ... (preference in rank order): Certified Financial Planner (CFP), Chartered Financial Analyst . (CFA), Accredited Asset Management Specialist AAMS(R) , Certified Trust… more
- City National Bank (Raleigh, NC)
- …Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements, ... Or * Certified Information Systems Auditor (CISA) Or * Chartered Financial Analyst (CFA) Or * Certified Anti-Money Laundering Specialist (CAMS) Or *Additional… more
- Truist (Charlotte, NC)
- …degree in Business, Economics, or similar concentration + Chartered Financial Analyst (CFA) designation. + Thorough understanding of asset liability management and ... offering circulars and other SEC documents used for issuance of GBN/MTN securities . **General Description of Available Benefits for Eligible Employees of Truist… more