- ADP (Chicago, IL)
- …meaningful impact. **Bonus points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending appropriate licensing within the first 45 days of employment. **YOU'LL LOVE WORKING HERE BECAUSE YOU CAN:** + **Be yourself** in a culture that values equity,… more
- Huron Consulting Group (New York, NY)
- …program, which applies only to employees who are registered representatives with securities industries licenses in good standing. Inclusive of annual the incentive ... compensation program, the total estimated compensation range for this job is $90,000 - $162,000. The job is also eligible to participate in Huron's benefit plans which include medical, dental and vision coverage and other wellness programs. The salary range… more
- JPMorgan Chase (Westerville, OH)
- …were registered after October 1, 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life ... and Health Insurance license must be obtained within 120 days of starting in the role as a condition of employment Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals… more
- Citigroup (Getzville, NY)
- …governing digital assets, cryptocurrencies, blockchain technology, stablecoins, and tokenized securities + Familiarity with global regulatory approaches to digital ... assets is highly desirable + 6+ Years Required + Understanding of underlying digital asset and/or artificial intelligence / machine learning technologies and their implications for compliance + Ability to navigate complex and rapidly evolving regulatory and… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …Investment Advisors: FINRA Series 7 and 63/66 licenses preferred. Knowledge of the Securities industry and SEC / FINRA regulations is preferred Business Controls Sr. ... Associate - Enterprise Information Technology/Information Security At Fifth Third, we understand the importance of recognizing our employees for the role they play in improving the lives of our customers, communities and each other. Our Total Rewards include… more
- MUFG (New York, NY)
- …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 ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Janus Henderson Investors (Denver, CO)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- Bank of America (Charlotte, NC)
- …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. **Responsibilities:** + Maintains accuracy of client portfolio using… more
- TD Bank (Mount Laurel, NJ)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management** + **Prior experience working with ... lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks.** + **Ability to recognize opportunities to implement key… more
- HSBC (New York, NY)
- …wallet share. An understanding of the Corporate Sales business, MSS (Markets and Securities Services) products, and clients is therefore essential in this role. Also ... essential is a deep knowledge of the products that Strategic and Focus clients typically trade; the role holder should therefore be familiar with, foreign exchange instruments and interest rate derivatives. The primary objective of the role is to manage and… more