- JPMorgan Chase (Manassas, VA)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses though JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more
- T. Rowe Price (Baltimore, MD)
- …portfolios risks focusing on identifying significant sources of risk (eg, factors, securities , sectors, etc.) and material changes in risk profiles. + Analyze tail ... risks and conduct stress tests based on hypothetical and historical scenarios. + Collaborate with equity investment staff to understand their strategies and risk taking in portfolios. Risk Reporting & Tool Development: + Prototype and develop risk reporting… more
- Wells Fargo (Chattanooga, TN)
- …offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + This role ... requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section… more
- JPMorgan Chase (St. Paul, MN)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... 66 if required) and Life licenses are required - or must be successfully completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign equivalent + Adherence to policies, procedures, and… more
- Bank of America (Tampa, FL)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... derivatives across multiple Lines of Business. Key responsibilities include carrying out duties under general supervision and assisting teammates while following established procedures. Anti-Money Laundering (AML) Know Your Customer/Client Due Diligence… more
- Wells Fargo (Wayne, PA)
- …current office requirements + Visa Sponsorship is not available + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire ... date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 7 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will… more
- CalSTRS (Sacramento, CA)
- …of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement of Economic Interest (Form 700) ... (http://www.fppc.ca.gov/Form700.html) . **Incompatible Activities** This position is subject to the provisions of Government Code Section 19990 (https://leginfo.legislature.ca.gov/faces/codes\_displaySection.xhtml?lawCode=GOV§ionNum=19990.) . Upon… more
- Wells Fargo (New York, NY)
- …transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of ... hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In… more
- Chevron Corporation (Houston, TX)
- …joint ventures, commercial, corporate governance and other general corporate, securities , and transactional experience. + Excels at positive, productive relationship ... building, including coordinating and collaborating with global multidisciplinary, cross-border teams of client and counterparty business professionals, inhouse and outside legal professionals and subject matter experts of all levels. + Highly adept commercial… more
- Deloitte (Stamford, CT)
- …clients and industries/sectors you serve Preferred: + Strong understanding of securities and various financial relationships (stocks, bonds, mutual funds, ETFs, ... etc.) For individuals assigned and/or hired to work in California, Colorado, Hawaii, Illinois, New Jersey, Maryland, Minnesota, Nevada, New York state, Washington State, and Washington, DC, Deloitte is required by law to include a reasonable estimate of the… more