- Wells Fargo (Charlotte, NC)
- …to low-to-medium risk tasks and deliverables + Receive direction from a manager and exercise independent judgment while developing understanding of compliance and ... FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be completed within...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
- Bank of America (Fayetteville, NC)
- …Solutions Advisor Stage I (FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for your ... Securities Industry Essentials [SIE], Series 7 and Series 66...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
- Bank of America (Asheville, NC)
- …of the Advisor Development Program,** your journey begins by obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for ... your Securities Industry Essentials [SIE], Series 7 and Series 66...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… 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
- Bank of America (Charlotte, NC)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... regulatory reporting + Escalates potential risks and exposures to manager in a timely manner + Assists with ad-hoc...and employees around the world + Knowledge of Cash Manager , Client Transaction Manager (CTM), Funds Processing… more
- Truist (Charlotte, NC)
- …**Please review the following job description:** Serve as primary relationship manager for a portfolio of financially complex client relationships within the ... time to time. 1. Serve as the primary relationship manager for a portfolio of mass affluent clients. Sell,...for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7,… more
- TD Bank (Charlotte, NC)
- …flagged trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system and escalates matters to the field ... platform systems preferred (ie, Global Relay, FIS Supervision Compliance Manager , Smarsh, Sprinklr, etc.) + Ability to communicate effectively...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Bank of America (Greensboro, NC)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... regulatory reporting + Escalates potential risks and exposures to manager in a timely manner + Assists with ad-hoc...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
- Truist (Charlotte, NC)
- …the appropriate documentation/structure relating to the Subsidiary. 4. Coordinate with Manager to ensure timely and accurate reporting of necessary corporate ... as well as client needs. 7. Support Tax-Exempt Lending Manager with projects and strategic work assignments, as needed....in Finance, Accounting or Economics 2. Two years of securities industry, preferably in investment banking or equity capital… more