- Thrivent Financial (Fort Wayne, IN)
- …Financial computer systems and programs in support of client relations, supports securities and insurance related tasks and other administrative tasks as assigned. ... client accounts + Provides fund values and answers other securities (including, if appropriately licensed, variable insurance and annuities) product-related… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and ... and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance. + Rules and regulations of: … more
- Thrivent Financial (Minneapolis, MN)
- …initially, with the commitment to become licensed within 6 months (SIE, Securities Exams (6/63, 6/63/65, or 7/66), Life/Health Insurance). Job Description Position ... with a licensing bonus of $2000 upon completion of Securities exams (6/63, 6/63/65, or 7/66) and State Life/Health...licensed, we will award a $1000 signing bonus for securities licensure and/or $1000 signing bonus for insurance licensure.… more
- PNC (Pittsburgh, PA)
- …key stakeholders to drive PNC Capital Markets forward. PNCCM is registered as a securities broker and dealer, and we provide support to the business that offers ... and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate securities , state and municipal obligations, and mortgage-backed securities . The… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Data privacy laws and regulations. + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of the ... Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance… 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
- Raymond James Financial, Inc. (Memphis, TN)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. + Fundamental investment… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $150,000 USD TD is committed to providing fair ... Markets Documentation Team is an integral part of TD Securities . GMD is a client facing team responsible for...responsible for providing best-of-class service to clients of TD Securities and internal business partners by preparing and negotiating… more
- State of Montana (Helena, MT)
- *_Enforcement and Prosecuting Attorney for Insurance and Securities Fraud Cases_* Join the Montana Commissioner of Securities and Insurance (CSI) as an attorney ... focusing on prosecuting insurance and securities fraud cases. . *Salary:*$95,000 - $125,000, depending on...Montanans by regulating two of the state's largest industries: securities and insurance. We protect a healthy marketplace through… more