- GE Vernova (Stamford, CT)
- …Compliance: Coordinate and execute compliance obligations for regulated securities transactions arranged through a registered Broker-Dealer and Financial ... + Experience with asset management, fund management, brokerage activities for securities transactions and/or capital raising. **Desired Characteristics** + Holds US … 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance. + Rules and regulations of the Securities ... Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies, specifically FINRA 2241 and SEA - Section 5,… more
- TD Bank (New York, NY)
- …Sales & Trading (New York)** As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. Our ... needs today and prepare for tomorrow. **JOB OVERVIEW** TD Securities is looking for candidates with varying backgrounds and...a career guide for navigating your experience at TD Securities and beyond. Summer Analysts will have the opportunity… more
- KeyBank (Brooklyn, OH)
- …on our accounting system, Global Plus. Timely and accurate pricing ensures securities are valued correctly on customer statements, valued correctly for client fees ... and Associates to ensure accurate and timely pricing of securities on Global Plus. The individual will assist and...+ Responsible for the accurate and timely pricing of securities on Global Plus accounting system. + Monitors daily… more
- TD Bank (New York, NY)
- …**2027** **Summer Analyst Program -** **Capital Markets** **(New York)** TD Securities is a market leader in capital markets advisory and underwriting. ... Develop relationships with Capital Markets professionals and more broadly across TD Securities . What makes Capital Markets right for you? + Capital marketsisa hybrid… more
- Truist (Orlando, FL)
- …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
- AON (Fort Washington, PA)
- …To excel in this role, candidates must possess Life, Accident, and Health licenses. Securities 6 and 63 licenses are preferred, as they enhance the ability to ... supporting the Group Variable Universal Life principal in ensuring adherence to Aon Securities and Prudential standards. Candidates should have 6 to 10 years of… more
- Wells Fargo (New York, NY)
- …a law firm and/or in-house at a major financial institution. + Deep knowledge of US securities laws, including the Securities Act of 1933 and the Securities ... Familiarity with cross-border capital markets transactions and jurisdiction-specific requirements and securities regulations is a plus. + Experience working with or… more
- Robert Half Legal (Philadelphia, PA)
- Description Our Philadelphia based law firm is seeking a Corporate & Securities attorney with up to 8 years of experience. The role requires hands-on experience ... documents and overseeing deal teams. * Ensure compliance with securities laws and regulations, including those related to private...attorney, preferably with the Investment Funds or Corporate & Securities departments of a law firm. * Licensed to… more