- 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
- Robert Half Legal (San Diego, CA)
- …Firm & Position: A well-established financial services organization is seeking a Associate General Counsel - Broker-Dealer Regulatory Compliance to join its growing ... regularly with Compliance and Risk departments to ensure enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President… 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. (St. Petersburg, FL)
- …the Financial Services industry, Raymond James is seeking a dynamic Client Service Associate who is a motivated, detail oriented and creative problem solver to join ... and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. **Skill in** +… more
- JPMorgan Chase (Jacksonville, FL)
- …solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide client service, operational ... 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor,… more
- Raymond James Financial, Inc. (Holland, MI)
- …Services industry, Raymond James is seeking a dynamic Registered Client Service Associate who is a motivated, detail oriented and creative problem solver to ... and methods. + Investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations. + Trading… more
- Wells Fargo (Savannah, GA)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. +...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… 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
- Wells Fargo (Danbury, CT)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the ... For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- SMBC (Los Angeles, CA)
- …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