- S&P Global (Englewood, CO)
- …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
- JPMorgan Chase (Chicago, IL)
- …and Investor Services business, an area comprised of the world's leading securities and derivatives sales, trading, research and operations groups providing clients ... Analyst (Option Clearance), you will have this rewarding opportunity to support securities trading for high profile clients and various internal teams to allow… 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
- Bank of America (Buford, GA)
- …Solutions Advisor Stage I (FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for your ... Securities Industry Essentials [SIE], Series 7 and Series 66...technology or applications. **Desired Qualifications** + Currently holds FINRA Securities Industry Essentials (SIE) + Bachelor's degree and/or a… more
- Office of the Comptroller of the Currency (Washington, DC)
- …ethics standards, such as the requirement that new hires divest their bank securities . Obtain and maintain a Top Secret security clearance. Qualifications You must ... received a waiver determination permitting you to retain bank securities due to extenuating circumstances, please note that this...implications of any change in duties on a prior securities determination with your ethics official. We may select… more
- Wells Fargo (New York, NY)
- …. **In this role, you will:** + Participate in initiatives within Securities Sales and identify opportunities for process improvement + Review and analyze ... while contributing to team objectives **Required Qualifications:** + 2+ years of Securities Sales experience, or equivalent demonstrated through one or a combination… more
- Bank of America (Lemon Grove, CA)
- …Solutions Advisor Stage I (FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for your ... Securities Industry Essentials [SIE], Series 7 and Series 66...technology or applications. **Desired Qualifications:** + Currently holds FINRA Securities Industry Essentials (SIE) + Bachelor's degree and/or a… more
- Raymond James Financial, Inc. (New York, NY)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations ... of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry +… more
- Huntington National Bank (Chicago, IL)
- …+ Series 7 license + Series 52 License ( If you obtained a General Securities Representative (Series 7) registration on or after November 7, 2011 the Series 52 is ... issues across asset classes, with a focus on Municipal securities + Experience in fixed income securities ...Municipal securities + Experience in fixed income securities + Proficient with Bloomberg TOMS, Pershing Netx360, MSRB… more
- Citizens (North Smithfield, RI)
- Description If you're passionate about a career in Wealth Management, Citizens Securities , Inc. is hiring for the Investment Assistant II role. Citizens ... Securities , Inc. is a high-quality investment services provider, focused...while adhering to all FINRA, CCOIS, CFG and state securities regulations on a daily basis. You are responsible… more
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