- JPMorgan Chase (Raleigh, NC)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign...of long-term career with the firm **Dodd Frank/Truth in Lending Act** This position is subject to the Dodd… 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)
- …equity investors + Assist in the underwriting and execution of asset backed lending facilities including both broadly syndicated CLO warehouses and middle market ... lending facilities + Further responsibilities include facilitating term sheets...FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be completed within… more
- Wells Fargo (Charlotte, NC)
- …and public and private corporations. We've built the strongest commercial real estate lending platform in the industry. The CIB Commercial Real Estate Early Career ... Housing) + REIT Finance + Commercial Mortgage Loan and Securities Finance + Real Estate Syndicated Finance + Real...Syndicated Finance + Real Estate Securitization & Capital Markets ( Lending ) **WHAT THE PROGRAM OFFERS** You will work closely… more
- JPMorgan Chase (Durham, NC)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... adhering to banking policies, procedures, and regulatory requirements. **Dodd Frank/Truth in Lending Act** This position is subject to the Dodd Frank/Truth in … more
- Wells Fargo (Charlotte, NC)
- …and loss (P&L) attribution + Extensive knowledge and understanding of securities and derivative products + Sound operational experience with complicated transactions ... clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed… 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 (Davidson, NC)
- …growth + Lead team to grow financial outcomes through increased net asset flows, lending balances and same store sales. + Develop the culture to drive employee ... 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
- Wells Fargo (Charlotte, NC)
- …and procedures and incorporate requirements into credit analysis, observations and lending recommendations + Represent the bank in developing and maintaining ... management CIB Portfolio Management experience, including experience with leveraged lending + Experience within credit underwriting and/or capital market… more
- Truist (Greensboro, NC)
- …experience working with clients dealing with banking, investments, and/or retail lending . (experience may include Retail, Wealth, Advisory, and/or Retail Lending ... 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… more
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