- BMO Financial Group (New York, NY)
- …of proficiency: + Risk analytics, financial markets. + Finance. + Pricing securities . + Creative thinking. + Computer Science. + Applied Mathematics. + Programming. ... + Statistical Models. + Data structures. + Automation. + Verbal & written communication skills. + Analytical and problem solving skills. + Collaboration & team skills; with a focus on cross-group collaboration. + Able to manage ambiguity. + Data driven… more
- PrincePerelson & Associates (Salt Lake City, UT)
- …Lake City, UT - Onsite Reports To: Chief Executive Officer (CEO) An established securities broker-dealer located in Salt Lake City is in the process of transitioning ... from a B2C retail brokerage firm to a B2B outsourcing broker for back and middle office services. Our client is seeking a highly organized, proactive, and strategic Chief of Staff to support the CEO and help to manage and lead the firm's operational and… more
- Truist (Newtown, PA)
- …traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, Series 24, Series 66 or 65/63 ... registrations and applicable Insurance licenses (Life, Health and Variable) must be active and maintained, or must be obtained within 100-180 days of job entry date. Active FINRA licenses must be transferred within 30 days of job entry date. 5. Minimum eight… more
- CalSTRS (Sacramento, CA)
- …of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700) ... (http://www.fppc.ca.gov/Form700.html) . **Incompatible Activities** This position is subject to the provisions of Government Code Section 19990 (https://leginfo.legislature.ca.gov/faces/codes\_displaySection.xhtml?lawCode=GOV§ionNum=19990.) . Upon… more
- First Horizon Bank (Orlando, FL)
- …+ FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance ... licenses. Ensures that appropriate continuing education requirements are met where needed. + 5 or more years of sales and client management experience in Wealth Management and a demonstrated ability to manage a portfolio of high net and ultra-high net worth… more
- Nuveen Investments (Hamden, CT)
- …on industry trends identified through market and risk analysis. + Executes securities transactions in client portfolios to maintain a specific investment strategy or ... to reach an investment objective. + Determines acceptable risk levels with clients based on time frames, risk preferences, return expectations, and market conditions. + Evaluates the performance of investment portfolios and ensures compliance with standards… more
- Aegon Asset Management (Denver, CO)
- …High School education or GED equivalent required. + Willing to obtain Series 6/63 Securities Licenses within 6 months hire. + Willing to obtain resident state Life ... Insurance License within 6 months hire. + Resourceful and well organized. + Participate in proactive team efforts to achieve departmental and company goals. Preferred Qualifications + Previous experience in financial services industry preferred. + Computer… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- Thrivent Financial (Crownsville, MD)
- …is $60,000 annually. There is an immediate growth track to obtain licensure in securities and life and health to ensure being able to provide the best client ... experience. Job Description Position Roles/Responsibilities/Accountabilities + Handles incoming telephone calls to Metro DC Associates and responds to requests for information + Performs routine administrative duties such as maintaining office supplies and… more
- MUFG (Jersey City, NJ)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
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