- 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
- Bank of America (Wilmette, IL)
- …Solutions Advisor Stage I (ADP FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated study time for your Securities ... Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you will be taught the foundational skills needed to be an advisor - from acquiring, building and managing client relationships to considering a client's complex financial… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $175,000 - $225,000 USD TD is committed to providing fair ... must be obtained within four months of hire date **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government,… 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
- Wellington (Boston, MA)
- …will include the setup of new issuer/deal records, credit facilities/ securities , new trade/issuance booking, guideline monitoring, lifecycle activity, corporate ... requirements and industry best practices (LSTA) for loan, credit, and debt securities **QUALIFICATIONS** + 7-10 years of experience with demonstrated deep expertise… more
- AON (St. Peter, MN)
- …with the successful candidates gaining invaluable re/insurance and Insurance Linked Securities expertise which will allow for excellent career progression in the ... with the successful candidates gaining invaluable re/insurance and Insurance Linked Securities expertise which will allow for excellent career progression in the… more
- Janus Henderson Investors (Denver, CO)
- …filings and legal work related to these funds, including submission to the Securities and Exchange Commission. + Perform legal work related to creation and ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- Edward Jones (St. Louis, MO)
- …as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA ... of hire) + Life and Health Insurance license is required. + Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and… more
- Thrivent Financial (MN)
- …variable lines of authority or ob tained within 90 days . + State securities registered and insurance licensed and appointed in all states that comprise the group ... Once advisors are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where… 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
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