- 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
- Edward Jones (Irvine, CA)
- …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 ... assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance… 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 (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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …settlements + Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities ... industry operations. + Financial markets, products, financial advisory function and investment process. **Skill in** + Personal trust and estate administration. + Strong interpersonal and leadership skills to provide a high level of customer service. +… more
- Deloitte (Dallas, TX)
- …3210 + Coordinate review and diligence of outside business activities and private securities transactions in accordance with FINRA Rules 3270 and 3280 + Assist with ... + 2+ years of experience working in regulatory and/or compliance driven environment. Securities Industry Essentials (SIE) and FINRA Series 7 license required or must… more
- Nebraska Public Power District (Columbus, NE)
- …tax-exempt debt, banking operations, investment strategies, accounting principles, securities compliance, and treasury systems. Knowledge of financial instruments ... rebates. This includes but is not limited to timely Municipal Securities Rulemaking Board (MSRB)/Electronic Municipal Market Access (EMMA) required postings in… more
- Charles Schwab (Austin, TX)
- …you with the paid training, study time, and support you need to obtain your Securities Industry Essentials and FINRA Series 7 & 63 licenses. If you are eager to ... + Passion for service to clients + Motivation to learn about the securities industry, including the basic principles of equity, option, and mutual fund transactions… more
- Truist (Charlotte, NC)
- …with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of ... supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates **Required Qualifications:** The… 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