- 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
- Thrivent Financial (Appleton, WI)
- …health and variable lines of authority or attained within 90 days. + State securities registered and insurance licensed and appointed in all states that comprise the ... + Once FPs are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where FPs are… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… 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
- City National Bank (New York, NY)
- …Bank * Responsible for revenue production goals related to advisory services and securities products. * Assist in developing new relationships with PBB Bank through ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license required. * CFP… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and ... the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Siebert Williams Shank (Chicago, IL)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and ... the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… 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
- Comerica (Dallas, TX)
- …economic indicators that may affect interest rate risk. Provide oversight of securities purchases and conduct postmortem assessment of securities purchase ... and challenge ALM simulation and scenario designs to ensure their accuracy, compliance , and alignment with industry standards and internal risk frameworks. Analyze… more