- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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
- Citigroup (Queens, NY)
- …analysis of variances focusing on various products such as loans, securities , deposits and derivatives, incorporating the understanding of regulatory reporting along ... US Bank regulatory reports) related to various products such as loans, securities , deposits and derivatives. + Strong familiarity with GAAP/SEC financial reporting +… more
- Thrivent Financial (Wauwatosa, WI)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- Janus Henderson Investors (Denver, CO)
- …strong sense of team commitment and accountability. + Professional qualifications (eg, Securities Industry Essentials (SIE)) are preferred. Nice to have skills + ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… 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
- 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
- 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
- Citigroup (New York, NY)
- …and finance solutions to Corporate clients. + Engage clients in selling derivatives, securities , FX, and commodities. + Drive team strategy across product lines. + ... firm reputation. + Adhere to Citi's Code of Conduct and Global Markets/ Securities Services Plan of Supervision. + Exercise sound judgment, ensure compliance with… more
- JPMorgan Chase (Tempe, AZ)
- …with leadership teams across lines of business. + Develop expertise in securities rules and regulations. + Implement account reviews for investment suitability. + ... Capabilities, and Skills:** + 7 years of experience in the securities /investment industry. + Bachelor's Degree. + Experience in supervisory or compliance… more
- Charles Schwab (Westlake, TX)
- …candidates should have: **Required Qualifications:** + 5-7 years legal experience in the securities industry (such as in a large broker-dealer or mutual fund firm) ... mutual fund regulatory filings and ability to research filings on the Securities and Exchange Commission regulatory filing website. + Strong contract drafting skills… more