- Ally (Albany, NY)
- …as required. Much of the focus will be analyzing investment securities comprised of equities, equity options, treasury bonds, agency residential mortgage-backed ... securities (RMBS), non-agency RMBS, agency commercial mortgage-backed securities (CMBS), and corporate & municipal bonds. Broader responsibilities will include… more
- JPMorgan Chase (San Francisco, CA)
- …lending sales team, you will leverage your deep expertise in margin, securities -based lending, custom lending, and mortgages to enhance client experiences and ... closing of transactions. + Serve as a subject matter expert in securities -based lending, margin lending, custom lending and mortgages, staying informed about… more
- PNC (Baltimore, MD)
- …support investment advisory subsidiaries of PNC that are registered with the US Securities and Exchange Commission (SEC). Your primary role will be to support and ... legal and financial requirements. Ideal candidates bring some experience in securities law, governance requirements and corporate compliance, along with a… more
- Raymond James Financial, Inc. (Honolulu, HI)
- …services environment. + Investment concepts, practices and procedures used in the securities industry. + Principles of finance and securities industry ... and FA practices, business valuation methods and modeling may be required. + Securities rules and regulations in order to conduct proper due diligence analysis of… more
- BlackRock (New York, NY)
- …insights to alpha and investment research. Improve the current suite of securities lending models, create proprietary models and maintain ongoing production and ... governance. Calibrate algorithms in Securities Lending e-trading and automation. Work closely with business...workflow automation. Must have any amount of experience with: Securities Lending Trading to design workflow for the business;… more
- Atria Wealth Solutions (King, NC)
- …and employee and customer referral programs, etc. + Keep all securities , insurance and licensing current through successful completion of Continuing Education ... and services as well as, life insurance, annuity and securities products. Proficient in operational procedures related to customer...- + Series 7, 66, or (63 and 65) securities licenses required. + North Carolina Life, Accident and… more
- Wells Fargo (Los Angeles, CA)
- …in Wells Fargo's Lending and Banking Solutions, including Home Mortgage, Securities -Based Lending, Custom Credit, and core deposit products. + Deliver ongoing ... Extensive experience in lending and banking solutions, including Home Mortgage, Securities -Based Lending, Custom Credit, and deposit products tailored to diverse… more
- S&P Global (New York, NY)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- Edward Jones (St. Louis, MO)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... 50 states at time of application** + At least 3-5 years of securities industry experience as a Financial Advisor or equivalent position requiring extensive product,… more
- Thrivent Financial (Fayetteville, AR)
- …by individual situation), which may include: + Resident state Life, Health and Annuity + Securities Industry Essentials (SIE) + Series 6 and 63, 7 and 66, or 7, 63 ... encouraged to apply. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation… more