- Wells Fargo (New York, NY)
- …+ Investment banking experience + A Master's degree or higher in accounting, finance , economics or biochemistry or related fields + Strong, clear and concise written ... disqualification are not eligible to be associated with a FINRA-registered broker- dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Atria Wealth Solutions (Raleigh, NC)
- …brokerage, advisory, or insurance fields Education: + Four-year degree in Business, Finance , or Insurance or equivalent work experience + FINRA series 7, 63/65 ... CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker- dealer and RIA with a stable, 25-year track record of serving the investment… more
- OneMain Financial (West Valley City, UT)
- …or responding to inbound calls** from potential customers + Communicate with dealer and merchants in handling escalated situations + Form close partnerships with ... retail, or call center environment. + Basic understanding of credit or personal finance concepts. + Bilingual: Spanish **Location:** Onsite - West Valley City, UT… more
- AGCO Corporation (Elizabethtown, KY)
- …our customer. + Evaluate, assist in planning of inventory + Manage all dealer activity by maximized use of software and hardware systems for distribution, assuring ... an in-depth understanding of concepts and procedures within the Sales, Marketing, Finance , Parts, Service departments. **Your Benefits** We also invite you to "Make… more
- JPMorgan Chase (Jersey City, NJ)
- …(eg, 12 CFR 9) related to asset management, investment advisor, broker- dealer and fiduciary activities. + Knowledge of various financial instruments, investment ... qualifications, capabilities, and skills** + CPA, CIA, and/or Advanced Degree in Finance or Accounting is preferred JPMorganChase, one of the oldest financial… more
- Access Dubuque (Dubuque, IA)
- …Experienceleadingnewprojectsfromdesigntoevaluation. + Experienceworkingacrossorganization disciplinessuchasclinical,humanresources, finance , quality, compliance, and ... Health Credit and Collections Analyst - Monticello, IA Innovative Ag Services Table Games Dealer Q Casino + Resort Prairie du Chien, WI Job Fair - Wednesday, Decem… more
- JPMorgan Chase (Jersey City, NJ)
- …+ Knowledge of applicable laws and regulatory requirements related to broker/ dealer and fiduciary activities + Strong interpersonal and influencing skills, with ... qualifications, capabilities and skills** + CPA, CIA, and/or Advanced Degree in Finance or Accounting is preferred JPMorganChase, one of the oldest financial… more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker/ dealer and RIA supervising principal in the securities industry. The supervisory ... with Microsoft Office applications **Preferred Qualifications:** + Bachelor's degree in Finance and 2 years of Retail Brokerage experience in supervision or… more
- NatWest Markets (Stamford, CT)
- …procedures for the regulatory reporting group Qualifications/Skills + BA/BA in numerate, finance or business discipline + Candidate must have minimum of 6+years of ... broker dealerfinancial regulationor accounting firm experience auditing a US regulated broker dealer + Must have experience working with SEC rule 15c3-1 and 15c3-3 +… more
- Canon USA & Affiliates (Melville, NY)
- …the BPG and Client Services divisions - Position handles several aspects of dealer -account operations including, but not limited to, the areas of Marketing Program ... The Skills & Expertise You Bring** - Bachelor's degree in a relevant field ( Finance or Accounting) or equivalent experience required, plus 0 to 2 years of related… more