- 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
- JPMorgan Chase (Jersey City, NJ)
- …services typically available to our Prime Brokerage clients are Global Custody, Securities Lending, Financing and Margin Solutions. The successful candidate will be ... background + Stronger leadership skills + Experience within Prime Brokerage / Securities Settlements / Asset Servicing + Experience of Reconciliations + Analytical… more
- Santander US (New York, NY)
- …innovative solutions. **Essential Functions/Responsibility Statements:.** + Help the growth of the Securities Finance Business in LATAM and US especially linked to ... Securities Product and Credit collateral. + Help the Sale force for to originate transactions through product pitches or marketing materials + Lead execution of… more
- Wells Fargo (Charlotte, NC)
- …Bank Technology (CCIBT). This team supports the issuance of new Debt and Equity Securities to the Markets. This business is in a strategic growth phase and is ... Syndicate Desks to collaborate with other Sell-Side Brokers to issue new securities to Buy-Side clients, thereby raising funding for our Issuer clients. BookBuilder… more
- JPMorgan Chase (Chicago, IL)
- …policies + Resolve complex issues related to SWIFT formatting, cash and securities settlement instructions (SSIs), and securities settlements across global ... markets + Build and leverage relationships across Sales/RM, Compliance, Technology, and Operations to drive solutions + Analyze client behavior, margin balances, and exceptions to identify opportunities for improvement + Implement solutions to enhance client… 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
- Wells Fargo (Greenwood Village, CO)
- …offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + This role ... 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
- JPMorgan Chase (Newark, DE)
- …to maintain and improve client relationships and streamline processes. JPMorgan Securities LLC offers security brokerage services providing investment products & ... work independently and multi-task in a fast-paced environment. + Knowledge of securities industry and back office operations (eg, maturities, equities, fixed income,… more
- Principal Financial Group (Elkhorn, NE)
- …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