- Raymond James Financial, Inc. (St. Petersburg, FL)
- …develop tactical plans for FCM-related enterprise client and corporate securities review initiatives. Completes assignments with substantial latitude for autonomous ... and procedures, tailored to sanctions investigations of clients, transactions and securities reviews, while in alignment with our corporate policies and standards.… more
- Thrivent Financial (Denver, CO)
- …of advice, insurance products, asset/wealth management, fee-based planning, mutual funds, and securities . + FINRA Series 7, 63/65 or 66 required or obtained within ... 90 days, Series 24 preferred. + State securities registered and insurance licensed and appointed in all...are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all… more
- Thrivent Financial (Atlanta, GA)
- …90 days of pay and coaching as you obtain the state insurance and securities licenses necessary for this position . Role Description As a Virtual Financial Advisor ... variable lines of authority or obtained within 90 days + Eligibility to be securities registered and insurance licensed in all 50 states + Sales experience +… more
- JPMorgan Chase (Columbus, OH)
- …position requires the understanding of advances accounting, cash, and securities movement methodologies. General responsibilities include partnering with internal ... + Process daily activities which include digital mail, subaccount, cash movement, securities movement of endowment and foundations and privately held entities. + Be… 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
- SMBC (Jersey City, NJ)
- …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
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $115,000 - $135,000 USD TD is committed to providing fair ... this role. **Job Description:** Preferred Qualifications: Short Term Assignment The TD Securities US Regulatory Management & Remediation team is responsible for the… more
- SMBC (New York, NY)
- …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
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance ... Surveillance Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory… more
- S&P Global (Boulder, 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