- MUFG (New York, NY)
- …the Trade Processing team within the Front Office Solutions (FOS) group at MUFG Securities Americas Inc. This team is responsible for a suite of internally developed ... 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 (Los Angeles, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Obtaining ... 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 (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 (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
- Wells Fargo (Danbury, CT)
- …offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required + ... 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 (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 (San Francisco, CA)
- …public and private equity, M&A, loan and high yield and convertible securities transactions. Employees support our focus on building strong customer relationships ... written, and interpersonal communication skills **Job Expectations** + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days… more
- UMB Bank (Kansas City, MO)
- …processing, maintenance, and moderately complex financial calculations related to securities and cash transactions for institutional investors. They accurately input ... cash and securities transactions, as well as market value update requests. This role also supports new account and fee setups as well as handling documentation and… more
- Citigroup (Glendale, CA)
- …skills; Ability to work in both a team and individual creative setting + US Only: Securities Industry Exam, S7 & S66; NOTE: Securities Industry Exam (SIE is a ... prerequisite to the S7) **Education:** + Bachelor's/University degree, Master's degree preferred **Job Family Group:** Private Client Coverage **Job Family:** Financial Planning Services **Time Type:** Full time **Primary Location:** Glendale California United… 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