- USAA (Colorado Springs, CO)
- …with Health, Life or Retirement Income. Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities ... Counsel and Securities Compliance, provides research and documentation support for use in responding to regulatory authority inquiries and audits. Responsible for the implementation and sustainment of seasonal surge strategies through internal and… more
- Charles Schwab (Indianapolis, IN)
- …you with the paid training, study time, and support you need to obtain your Securities Industry Essentials and FINRA Series 7 & 63 licenses. If you are eager to ... about finance Passion for service to clients Motivation to learn about the securities industry, including the basic principles of equity, option, and mutual fund… more
- Fidelity (Covington, KY)
- …Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment ... Company Act of 1940, ERISA, numerous state laws governing securities , investment and retirement-related financial activities and the rules and regulations of… more
- Charles Schwab (Seattle, WA)
- …consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a teamsetting, and share our passion for ... serving clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on… more
- Charles Schwab (Westlake, TX)
- …procedures, and guidelines Strong US trading experience, or familiarity with the securities industry and an understanding of options and equities In addition to ... the salary range, this role is eligible for bonus or incentive opportunities. What's in it for you At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and… more
- Charles Schwab (Indianapolis, IN)
- …nurturing culture and diverse set of career opportunities. If you currently have your securities licenses, enjoy working in a team setting, and share our passion for ... serving clients - this role is for you. We offer a competitive pay and bonus package. Starting compensation for this location ranges from $56,300.00 - $64,800.00 depending on related experience, plus an annual bonus opportunity of 10% of your base pay and… more
- Charles Schwab (Irvine, CA)
- …consider 24-month condition of employment). Minimum of 10 years in the securities or financial services industry with experience leading people leaders, preferably ... focused on business development. Proven track record to influence, engage and build consensus with executives, peers, and front-line employees. Recognized leader with a proven track record of performance. Demonstrated success with leading and coaching people… more
- Charles Schwab (Westlake, TX)
- …previous experience in Banking, Financial Services, Wealth Management, and or Securities industry Highly Preffered qualifications: Active and valid FINRA Series 7 ... and 63 licenses We place a premium on high performance, quality service and the ability to execute the Schwab strategy. Essential skills include: Ability to adapt to changes in the market and business Strong written and oral communication skills in addition to… more
- Charles Schwab (Lone Tree, CO)
- …in advice and planning will start with studying for and passing the required securities license exams. You will then receive training to prepare you to deliver ... outstanding service and assist our clients with trading needs. After your training, you will complete rotations within 4 unique Wealth & Advice Solutions businesses. Through these immersive rotation experiences, you will gain product and industry knowledge… more
- United Nations Federal Credit Union (New York, NY)
- …for modifications to databases. Follow the organization's data protection and network securities and antivirus policies. Stay abreast of industry trends, and attend ... training, conferences, and seminars according to organization's business requirements. Participate in Credit Union training and development programs. Perform additional responsibilities as assigned. Ensure compliance with federal and state laws and regulations… more
- Charles Schwab (New York, NY)
- …asset consolidation, networking, and earning client referrals.If you currently have your securities license, enjoy working in a teamsetting, and share our passion ... for serving clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 licenserequired Obtaining oracquiringFINRASeries 66 (63/65) license and Life & Health Insuranceas it will berequiredduring your tenure on the… more
- United Nations Federal Credit Union (New York, NY)
- …modifications to databases. Follow the organization's data protection and network securities and antivirus policies. May need to demonstrate familiarity with ... dimensional models such as SSAS cube and tabular model. May need to demonstrate knowledge of some shell scripting language. Stay abreast of industry trends, and attend training, conferences and seminars according to organization's business requirements.… more
- BofA Securities, Inc. (New York, NY)
- VP, Investment Banker sought by BofA Securities , Inc. All candidates should make sure to read the following job description and information carefully before ... applying. to support the origination & execution of investment banking transaction mandates for large-cap corporate clients in the Natural Resources sector, such as buy & sell-side M&A, incl. cross-border transactions, & cap mrkts processes, incl. debt &… more
- Citizens (Greensburg, PA)
- …units and balances through mortgages, home equity lines, and securities -based lending. Client satisfaction survey results. Qualifications, Education, Certifications ... and/or Other Professional Credentials Bachelor's degree (preferred). 3 - 5 years of banking, wealth management or other relevant equivalent experience. Experience working with affluent and high net worth clients. A minimum of two licenses required SIE, Series… more
- BofA Securities, Inc. (Jersey City, NJ)
- …has an oppty for a Director; EAC Compliance & Operational Risk Manager to review Investment Banking ("IB") transactions for potential addition(s) to the Watch List ... &/or Restricted List. Follow up with Investment Banking to receive deal updates & manage day-to-day Control Room processes. Remote work may be permitted w/in a commutable distance from the worksite. Reqs: Bach. or equiv. & 6 yrs exp. in: Handling advanced… more
- HUB International (Chicago, IL)
- …ROLE** Join our growing team! Hub is looking for an **Associate General Counsel, Securities and Deputy Corporate Secretary** , who will play an important role in the ... preparation for future securities offerings and advise on a wide range of...offerings and advise on a wide range of other securities -related matters, including regulatory compliance, SEC and SOX compliance,… more
- JPMorgan Chase (New York, NY)
- …for a top tier financial institution that does cutting-edge work. As a Securities Services Attorney - Executive Director on JPMorgan's Securities Services legal ... team, you will provide legal support across our diverse Securities Services business. While the full platform includes Custody, Fund Services, ETFs, Agency … more
- Citigroup (Tampa, FL)
- Agency Lending is part of the overall Securities Services Business unit. The ASL Business facilitates the temporary transfer of securities from a lender to a ... borrower against collateral ( securities or cash), enabling beneficial owners to generate incremental income on their portfolio securities . The services provided… more
- ManpowerGroup (New York, NY)
- …client, a leading organization in the financial services industry, is seeking a Securities Operations Analyst - TRADE/Finance to join their team. As a Securities ... Operations Analyst - TRADE/Finance, you will be part of the Securities Operations department supporting trade and financial activities. The ideal candidate will… more
- Deloitte (Raleigh, NC)
- Senior Consultant - Securitization Capital Markets (Commercial Mortgage-Backed Securities Focus) Audit & Assurance - Securitization Capital Markets Services ... procedures on new issuance securitization transactions across Agency Mortgage-Backed Securities (MBS), Asset-Backed Securities (ABS), Commercial Mortgage-Backed … more
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