- TD Bank (New York, NY)
- …Qualifications:** + 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization. + JD desirable but not required ... at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global ... & duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge of ... & duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- Guardian Life (New York, NY)
- …daily. **You have** + 3 or more years of extensive industry experience + Securities license preferred (Series 7 or 6) + Knowledge of retail client onboarding/new ... account process, and advisory products + Possess a high degree of self-confidence, work independently and have rapid decision-making ability. Must demonstrate strong and analytical and organizational skills. + Demonstrate ownership and follow through when… more
- JPMorgan Chase (Lake Grove, NY)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... 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 Life… more
- JPMorgan Chase (White Plains, NY)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- JPMorgan Chase (Fayetteville, NY)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- JPMorgan Chase (Brooklyn, NY)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- Marex (New York, NY)
- … securities advisory experience supporting fixed income. Knowledge of broker -dealer activities and requirements. + Bachelor's Degree in Finance, Economics, ... will provide compliance advisory services primarily for Fixed Income securities , including corporate bonds, convertible bonds, agency bonds, municipal bonds,… 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