- JPMorgan Chase (Jersey City, NJ)
- … and Exchange Commission, Depository Trust & Clearing Corporation and European Securities and Markets Authority and ensuring full compliance and adherence ... to industry standards; Working with various markets settlement cycles including DTC, Euroclear, and Fed Settlement, reporting tools including SURF and COGNOS and operational risk management for Fixed Income, Equity, SWAP, Futures and Options related… more
- Charles Schwab (Austin, TX)
- …and Automatic Rollover IRA, as well as oversight and monitoring of Employer Securities . The Specialty Products Manager will serve as a subject matter expert for ... + Reviewing and monitoring CTF account opening documentation to ensure compliance with applicable banking and other regulations + Completing monthly reconciliations… 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
- Robert Half Finance & Accounting (Dallas, TX)
- …and presentations to support key business decisions. * Evaluate fixed income securities and conduct loan valuations. * Collaborate with cross-functional teams to ... advanced Microsoft Excel techniques for data analysis and modeling. * Ensure compliance with accounting standards and economic principles in all analyses. * Apply… more
- Regions Bank (New Orleans, LA)
- …of new Financial Advisor within the branch network + Performs compliance responsibilities as a Financial Industry Regulatory Authority (FINRA)/ Securities ... **Certifications/Licensures** + Series 7, 65, and 63 - or- Series 7 and 66 securities registrations (or the ability to obtain above registrations within 12 months of… more
- Federal Reserve Bank (Chicago, IL)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... or your spouse/domestic partner or minor child own such securities and would not be willing or able to...equal employment opportunity for employees and job applicants in compliance with applicable law and to an environment where… more
- 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
- Bank of America (Hartford, CT)
- …Advisors (FAs). As a WMCA - ADP your journey begins by obtaining your Securities Industry licenses, where you will receive dedicated study time for your ... Securities Industry Essentials [SIE], Series 7, and Series 66...growth, referral activities, customer follow up, prospect building, administrative compliance and personal growth and development according to both… 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
- 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