- Raymond James Financial, Inc. (New York, NY)
- …of research. + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... + Remain cognizant of our commitment to regulatory and compliance requirements. **Educational/Previous Experience Requirements** + Ideal candidate will have… more
- HSBC (New York, NY)
- **Description** **Bilingual Senior Vice President, Public Sector Latin America, HSBC Securities (USA) Inc., New York, NY:** Manage a portfolio of clients operating ... portfolio. Originate new business across global markets solutions, custody and securities services for the Central Banks, State-owned entities and sovereigns in… more
- Citigroup (New York, NY)
- …role, supporting Citi Private Bank in Canada. This role requires registration for securities both in the US and in Canada. Investment Counselors joining Citi Private ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...investment advice and solutions. + Role requires registration for securities both in the US and in Canada +… 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)
- …risk and extends liquidity in markets around the world. **About** **J.P. Morgan Securities Services** JP Morgan Securities Services, a division of the Commercial ... execute market initiatives in alignment with the global direction of the Securities Services product line. + Clearly articulate JPM's competitive proposition and key… 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 (Brooklyn, NY)
- …to delivering exceptional client service. As a Client Service Manager in Securities Services, you will have the opportunity to build strong relationships with ... ensure their satisfaction with our services. As a Client Service Manager (CSM) in Securities Services, you will join the client service team and have an assigned… more
- Bank of America (New York, NY)
- …Products, is responsible for origination and execution of term asset-backed securities (ABS) transactions and secured lending transactions. We manage a secured ... Syndicate Desk and Mortgage Sales Force to market the securities to investors. **Job Description:** This job is responsible...to Detail + Customer and Client Focus + Regulatory Compliance + Research Analysis + Risk Analytics + Microsoft… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... a Lead Business Execution Consultation for the Commercial Mortgage Loan & Securities Finance (CMLSF) chief operating officer team, within Commercial Real Estate. The… more
- Wells Fargo (New York, NY)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific … more