- 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
- 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
- BlackRock (New York, NY)
- …risks, controls, and compliance frameworks for crypto assets, stablecoins, tokenized securities , and blockchain-based operations + Apply advanced data analytics and ... compliance frameworks for digital assets (eg, crypto assets, stablecoins, tokenized securities ) across custody, trading, settlement, and platform integration) + Deep… more
- Bank of America (Hartford, CT)
- …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66 Exams. Your SIE, Series 7 & 66 must be obtained within 120 days; (63 & 65 accepted, in lieu of 66, if… more
- Raymond James Financial, Inc. (Rochester, NY)
- …methods. + Advanced investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading ... + Series 7 required. + Series 63, 65 and/or 66 as required by state. + Ability to obtain additional securities and advisory state registrations if required by state. more
- UMB Bank (Kansas City, MO)
- …You have working knowledge of the Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, ... regulations, guidance. + You demonstrateproficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor). + You are proficient in documenting business policies, and… more
- Wells Fargo (Charlotte, NC)
- …and maintain their various access requirements while also leveraging familiarity around securities products in order to maximize value and support across CIB Markets ... experience including proficiency around Equities, FICC, Spread and other securities products + Excellent verbal, written, and interpersonal communication skills… more
- Principal Financial Group (Brentwood, TN)
- …Annuity licensing for all non-resident states in which business will be conducted. ** Securities exams and IAR appointment include:** + Series 7 and 63 or equivalent, ... 66 as required by applicable state law to become IAR with Principal Securities , Inc.'s RIA + Refer to Principal Financial Network Licensing/Exam Policy for the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …responsibilities as assigned. **Skills** + Concepts, practices, and procedures of securities trading. + Basic investment concepts, practices, and procedures used in ... the securities industry. + Accounting principles and procedures. + Mathematical procedures are required to verify and reconcile trading transactions. + Handling a… 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