- TD Bank (New York, NY)
- …PC skills required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... organization, are required by federal law for this position **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… 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
- Thrivent Financial (New York, NY)
- …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
- TD Bank (New York, NY)
- …Wealth (US) and TD's investment in TD Ameritrade + **Wholesale Banking** including TD Securities TD had CDN$1.3 trillion in assets on October 31, 2018. TD also ranks ... quant library + React and AngularJS + Solace message broker + Hazelcast and ZeroMQ for distributed computing +...- 10 years related experience **Who We Are** TD Securities offers a wide range of capital markets products… more
- Scotiabank (New York, NY)
- …determine the applicability and impact of laws and regulations for specific securities sales and trading businesses, and evaluate the impact of controls to ... years of compliance experience, including experience providing advisory support to a broker -dealer equities sales and trading business. + Knowledge of relevant SEC… more
- TD Bank (New York, NY)
- …support capacity (ie track record of high client satisfaction and retention) required + Securities Licensed: Series 7, 63 + 65 or 66 + Understanding of HNW client ... CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… 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
- JPMorgan Chase (New York, NY)
- …Analysts, Portfolio Managers, and Investment Specialists to evaluate municipal securities for investment opportunity and ongoing management . **Job ... recommendations via credit discussions and written credit reports for municipal securities for assigned sectors. * Perform independent credit risk on issuers… 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
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer, and see that the account is properly closed and archived from our ... * 3 to 5 years of experience in a broker dealer or investment industry * Minimum 3 years...* Bachelor's Degree preferred * FINRA Series 7: General Securities Rep preferred * HS Diploma * Bachelor's Degree… more