- 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
- NatWest Markets (Stamford, CT)
- …days must be carried out in the United States. **Job description** NatWest Markets Securities Inc. (NWMSI) seeks a VP, Market Risk for its Stamford, CT location. ... 40 hrs./wk. Direct applicants only. **It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment… 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
- Raymond James Financial, Inc. (Naples, FL)
- …- Financial Industry Regulatory Authority (FINRA) + s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA + ... Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) + CFP(R) designation (or progress toward) strongly preferred. **Work… more
- Federal Reserve Bank (Philadelphia, PA)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... loan holding companies. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted an… more
- Aegon Asset Management (Cedar Rapids, IA)
- …, or equivalent education and experience + A basic knowledge of the securities laws, regulations, and rules + Written and verbal communication skills + Analytical ... + Series 7 & 24 or Series 6 & 26, as applicable + Regulatory, securities , or advertising compliance experience Working Conditions + This is a hybrid position… more
- Federal Reserve Bank (Philadelphia, PA)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... loan holding companies. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted an… 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 (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
- State of Colorado (Denver, CO)
- …DO The Senior Paralegal position will support two teams - Insurance Fraud and Securities Fraud - within the Financial Fraud Unit. In this role, the paralegal will ... Experience as a litigation paralegal, especially in financial fraud crimes/ securities fraud/criminal law + Experience coordinating cross-functional teams, including,… more