- Trustco Bank (Albany, NY)
- …pertaining to those companies. + Compares performance of the Bank's recommended securities relative to their benchmarks to determine if the securities ... are still benefitting the Bank's portfolios. + Ensures compliance with regulations and Bank policies and procedures as...determine if and when it is prudent to reallocate securities within a portfolio. + Prepares daily, weekly and… more
- State of Colorado (Denver, CO)
- …This attorney will work on a multi-disciplinary team to prosecute insurance and securities fraud throughout the state. In this position, you will have the ... ranging from staged and caused accidents rings to complex securities fraud. If you are looking for a position...set commensurate with the successful candidate's qualifications and in compliance with the Equal Pay for Equal Work Act.… more
- Thrivent Financial (MI)
- …of advice, insurance products, asset/wealth management, fee-based planning, mutual funds, and securities . + FINRA Series 7, 63/65 or 66 required or obtained within ... 90 days, Series 24 preferred. + State securities registered and insurance licensed and appointed in all...and receiving commissions. + Satisfactory background check and clean compliance record. + Effectively able to represent the Society… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …business. * Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as assigned. ... and 1035 exchanges. * Concepts, practices, and procedures of the securities and banking industry. * Fundamental investment concepts, practices, and procedures… 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
- JPMorgan Chase (Chicago, IL)
- …qualifications, capabilities, and skills** + 7+ years of experience in the securities / investment industry + Minimum licensing requirement: FINRA Series 7 and ... days of hire. + Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices. +… 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
- JPMorgan Chase (Jersey City, NJ)
- …invests the firm's excess liquidity, generally by investing in high quality investment securities that are managed for the longer-term as part of the firm's ... investment securities portfolio. As a Treasury / Chief Investment Office...the financial statements and management reporting. You will ensure compliance with corporate and regulatory requirements, coordinate quarterly regulatory… more
- US Bank (New York, NY)
- …corporate and municipal bond sales, trading, and origination, asset-backed securities and CLOs, interest rate derivatives, commodity derivatives, foreign exchange, ... subscription finance, private placements, and repo and securities lending. **PRIMARY RESPONSIBILITIES:** + Provide legal support to the Global Capital Markets… 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