419 Securities jobs in the United States

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.
In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
The anticipated salary range for this role is between $78,000.00 and $125,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.
**Role Description**
The Securities unit is a part of the Treasury Operations group within BCDAD and is responsible for the confirmation, settlement, clearance and reconciliation of securities transactions executed by the bank's domestic and global offices. Products include certificates of deposit, commercial paper, treasury bills, treasury bonds, tri-party repos and mortgage backed securities.
The Associate is responsible for managing the workflow and approving transactions of the processing specialists. This is a tactical and transactional role whose primary focus is on day-to-day operational execution. Verifies and checks employee processing activities and ensures trades are accurately and timely completed. Acts as 2nd level point of escalation for inquiries from the internal staff. Reports to the Director.
**Responsibilities**
+ Manages end-to-end work flow; prioritizes and aligns tasks in accordance with departmental objectives
+ Ensures all customer and bank guidelines, policies, and procedures are followed as they relate to operations
+ Assists staff to ensure payment processing is approved and accurate
+ Approves release of payments
+ Researches, investigates and resolves failed, mismatched and unmatched trades
+ Verifies and checks reports generated by the operations staff
+ Manages, coaches and develops staff; administers the performance appraisal process and employee relations matters
+ Ensures employee compliance with bank and regulatory requirements and standards of ethical behavior
+ Participates in Disaster Recovery exercises to ensure smooth recovery of applications in the event of unplanned business disruption
**Qualifications and Skills**
+ 5 to 7 years of comparable or relevant experience working in a back office operations role for a banking or financial institution
+ Degree in Accounting, Finance or related discipline is preferred
+ Knowledge of departmental PPM and Guidelines for Securities Transactions settlements
+ Knowledge of securities, credit lines, confirmation and settlement process
+ Knowledge of payments structure through various settlement methods
+ Operational knowledge of the applications that support back office operations (i.e.,BONY-BDC, Accessedge, OBS, MONTRAN, etc.)
+ Ability to set priorities, develop a work schedule, monitor staff progress towards goals, and track activities
+ Excellent verbal, written and interpersonal communication skills
+ A strong sense of urgency and accountability with exceptional time management skills
+ Ability to coordinate and communicate with various internal departments across the organization
+ Forward thinker who seeks to improve business processes that deliver better services
**Additional Requirements**
SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at
EOE, including Disability/veterans

Securities Attorney

Career Consulting Partners has partnered with an international law firm that represents clients at the forefront of technological advancements, ranging from aviation to artificial intelligence, and possesses a thorough understanding of their industries and evolving needs. With 21 offices across the United States, Asia, and Europe, and a global network of legal partners, we are searching for a mid-level attorney with a background in Corporate & Securities .

ABOUT THE ROLE:

We are seeking a mid-level associate with a minimum of three (3) years of experience in public company reporting and compliance, capital markets transactions, and/or corporate governance. The ideal candidate will have a strong foundation in corporate and securities law, along with the ability to provide strategic counsel to clients across a variety of industries.

DUTIES:

• Advise public companies on SEC reporting obligations, disclosure requirements, and corporate governance matters.
• Assist in capital markets transactions, including IPOs, debt and equity offerings, and other securities transactions.
• Provide counsel on compliance with federal securities laws, stock exchange listing requirements, and regulatory developments.
• Work closely with clients on governance best practices, proxy statements, shareholder meetings, and executive compensation matters.
• Support private companies with corporate structuring, governance, and transactional matters, including venture financings and M&A transactions.
• Collaborate with partners and other team members to deliver high-quality legal solutions tailored to clients' needs.

REQUIREMENTS:

• J.D. from a nationally recognized law school.
• Active bar membership in Colorado or eligibility for admission.
• Minimum of three (3) years of relevant experience in corporate and securities law, preferably gained at a reputable law firm.
• Strong drafting, analytical, and negotiation skills.
• Ability to manage multiple projects efficiently and effectively while maintaining attention to detail.
• Excellent interpersonal and communication skills, with a client-service-oriented mindset.
• A proactive and collaborative approach to problem-solving and teamwork

COMPENSATION & BENEFITS:

• Compensation: $260,000 - $390,000
• Comprehensive medical, dental, and vision insurance, mental health support (EAP, therapy, mindfulness apps), Peloton membership, and a Well-Being Program focused on mental health awareness.
• Unlimited PTO, paid holidays, bereavement, jury duty, and leave of absence options.
• Adoption assistance, back-up care, fertility coverage, elder care services, life and disability insurance, and pet insurance.
• 2 days in-office after onboarding, home office reimbursement, internet allowance, and mobile phone reimbursement.
• 401(k) plan, financial consultations, firm HSA contributions, FSAs for healthcare and childcare, and student loan refinancing programs.

LOCATION:

• Denver, CO 80202
• Near the "Union Station"
• Hybrid (2 Days in the Office)

Please note that we at Career Consulting Partners will be sure to keep your information private. We will not submit you or your information to any firm without your consent. Once we have received your resume/application, we will reach out to you and review the firm(s) before we move forward.