- Citigroup (Getzville, NY)
- The Securities & Derivatives Associate Analyst is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and ... + Individual mapped to this job description is responsible for securities transaction processing execution + Typically related to Securities … more
- Thrivent Financial (IL)
- …associates to assist customer/member to purchase, sell, hold or exchange securities products + Verbal or written communications with prospective or existing ... research or information gathering that will be used with making securities product recommendations or providing investment advice (eg conducting due diligence,… more
- Thrivent Financial (Tallahassee, FL)
- …client relations and planning activities. The person in this role supports securities and insurance-related tasks and other administrative tasks as assigned. In ... and engage Christians to make a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65) before… more
- Thrivent Financial (Faribault, MN)
- …for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and ... or information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (eg conducting due… more
- Vanguard (Malvern, PA)
- …The Head of Brokerage Trade Operations is responsible for leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker-dealer. This role ... regulations change. + Leads and manages various brokerage functions (Margin, Securities Lending, Asset Servicing), oversees performance of operation, and ensures… more
- Wellington (New York, NY)
- …will play an important role in analyzing complex private and illiquid credit securities to determine fair valuation. The determination of the fair value will require ... and external clients. The ideal candidate is highly knowledgeable of the securities industry, has extensive credit analysis experience within the fixed income asset… more
- Robert Half Finance & Accounting (Chicago, IL)
- …SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations. Primary Responsibilities will include: + Data Collection and Analysis: ... when necessary. + Regulatory Updates: Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly. +… more
- Truist (Rockville, MD)
- …degree or equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge of securities ... to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts. 7. Effective time management skills. 8.… 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
- JPMorgan Chase (Columbus, OH)
- …clients about JPMorgan products and valueadd resources + Work towards and obtain Securities Industry Essentials, Series 6 and Series 63 securities licenses ... problem solving skills + Attention to detail + Obtain Securities Industry Essentials, Series 6 and Series 63 ...Securities Industry Essentials, Series 6 and Series 63 securities licenses within 120 days of starting in position… more