- Charles Schwab (Austin, TX)
- …business disciplines. + Experience in financial, investment management, and securities markets preferred. **Required Competencies:** + Architecture Management - ... Leading the design, implementation, and ongoing support of architectural initiatives from inception to operational maintenance, with a focus on driving initiatives across teams and enterprises + Conceptual Thinking - Finding effective solutions by taking a… more
- Wells Fargo (Irvine, CA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific ... compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information… more
- Vanguard (Malvern, PA)
- …other regulatory inquiries (eg, matters involving the SEC, FINRA, and state securities regulators). + Conduct and support internal investigations. + Direct and ... manage outside counsel and other external advisors. + Advise OGC and business leaders on regulatory enforcement risk and pending matters. + Draft and negotiate regulatory submissions, legal memos, agreements, and other legal documents and correspondence, as… more
- Citigroup (New York, NY)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- Citigroup (San Francisco, CA)
- …and solutions. + US Only: S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University degree, ... Master's degree preferred **Job Family Group:** Private Client Product Services **Job Family:** Investment Counselor **Time Type:** Full time **Primary Location:** San Francisco California United States **Primary Location Full Time Salary Range:** $200,000.00… more
- Rush University Medical Center (Chicago, IL)
- …and other organizations and oversee merchant accounts, lockbox, cash wire transfers, securities and mutual funds transfers, Donor Advised or Directed accounts and ... corporate matching gifts. * Assists with daily gift and record entry tasks, including but not limited to: entering gifts into Advance; running the daily receipting process; archiving electronic gift back-up and making biographic and contact changes and… more
- Fifth Third Bank, NA (Charlotte, NC)
- …+ Fluency with financial databases and platforms (eg, Bloomberg, Capital IQ). + Securities Industry Essentials (SIE), Series 79, and Series 63 licenses (or ability ... to maintain /obtain within company policy). + Advanced proficiency in Microsoft Excel and PowerPoint. VP Syndicated Leveraged Finance At Fifth Third, we understand the importance of recognizing our employees for the role they play in improving the lives of our… more
- Edward Jones (St. Louis, MO)
- …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 ... Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview… more
- Wells Fargo (Chicago, IL)
- …coach and develop junior talent **Required Qualifications:** + 5+ years of Securities Sales experience, or equivalent demonstrated through one or a combination of ... the following: work experience, training, military experience, education **Desired Qualifications:** + 5+ years of experience in Futures and OTC Clearing + Experience working with complex hedging and funding structures + Experience originating, structuring,… more
- NBT Bank (Burlington, VT)
- …Abilities: + Thorough knowledge of investment and insurance products and applicable securities and insurance rules and regulations + Strong communication and PC ... skills + No significant compliance issues + Has developed a process for client segmentation + Demonstrated team player and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements:… more