- 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
- 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
- Atria Wealth Solutions (Vancouver, WA)
- …only the broker dealer's approved product list, provide investment advice regarding securities and manage accounts or portfolios of member-investors with a fiduciary ... CU's members. + Possess a thorough knowledge of the insurance and securities industry. + Maintain continuing education and legal requirements of FINRA, State… more
- TD Bank (Exton, PA)
- …advisors with complex trading activities, including block trades, restricted securities , and other specialized transactions + Manages brokerage trade corrections, ... FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be… more
- Wells Fargo (Charlotte, NC)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Obtaining ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… 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
- S&P Global (New York, NY)
- …Markets, Equities and Index Management. + Exposure to a broad range of securities and index concepts. + Collaborate with global stakeholders and enhance your ... new issuances, and other market events impacting Private Markets and Equity securities . + Understand and explain highly complex index methodologies to stakeholders.… more
- Dentons US LLP (Indianapolis, IN)
- …and negotiating bond documents + Advise clients on tax-exempt financing and securities law compliance + Work collaboratively with other attorneys to provide ... public finance, with experience in bond transactions, tax-exempt financing, and securities law. The person in this role advises municipalities, counties, conservancy… more
- Wells Fargo (New York, NY)
- …& Company. Our clients have access to Wells Fargo Advisors, referrals from securities -registered bankers in the Consumer Bank and the Wells Fargo Private Bank, our ... acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Obtaining… more
- Citizens (Johnston, RI)
- …in Wealth Management and/or Investment business line. + Demonstrate broad knowledge of securities and investment products and ability to assess risk - such as ... + Strong skills in system utilization and processing for the securities industry and business software programs (Excel, SharePoint, OneDrive, Salesforce,… more