- 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 (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
- SMBC (White Plains, 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
- Citigroup (New York, NY)
- …+ Coordinate with Sales, Research, CMand and other organizations across Markets and Securities Services and the broader business + Trade a book and deliver on ... to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures as defined by your role… more
- MUFG (Irving, TX)
- …reporting of material non-public information, firm and employees personal securities trading monitoring, management of information barriers, and metrics and ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… 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. + This position ... 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
- Truist (Charlotte, NC)
- …This role is responsible for processing transactions that supports Derivative Trading, Securities Trading, Loan Trading or Agency Services Lines of Business within ... on core operational tasks including Client On-Boarding, Trade Capture, Securities Settlement and Clearance, Confirmations, Client Support or Margin/Collateral… more
- Citigroup (Brooklyn, NY)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... problem solver and a goal-oriented team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7, 66 (or 63 and 65)… more
- AIG (Parsippany, NJ)
- …Assets of over $95 billion a comprised primarily of fixed maturity securities and includes private equity, hedge funds, commercial/residential loans and equity ... securities . In addition, AIG's derivative portfolio consists primarily of foreign exchange derivatives but also includes interest rate and other derivative… more