- JPMorgan Chase (New York, NY)
- …ability and commitment to goals-based planning and advice + A valid and active Series 7 + A valid and active Series 66 (63/65) license is required or must be ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- SMBC (New York, NY)
- …and externally. + Proficiency in PowerPoint, Excel and Bloomberg. + Series 7 , 79, 63 preferred **Additional Requirements** SMBC's employees participate in a Hybrid ... 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.… more
- BMO Financial Group (New York, NY)
- …directives and guidance which apply to the group(s) supported. **Qualifications:** + **Series 7 , SIE, and 24 required.** **Series 57, 63, and 79 preferred.** Strong ... strongly preferred + Experience with a regulatory agency strongly preferred, including FINRA , SEC, NYSE + Knowledge of FICC, equities, prime brokerage, and… more
- JPMorgan Chase (New York, NY)
- …with clients and team members while maintaining professionalism. + A valid and active Series 7 license is required or must be obtained within 60 days of starting in ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- SMBC (New York, NY)
- …expectations. + Prior experience implementing data tools or platforms is a plus. + 7 + years of progressive experience in program or project management, with a strong ... 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.… more
- Guardian Life (New York, NY)
- …and efficiencies. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of state ... compliance experience, experience at an insurance-affiliated broker/dealer is a plus. + Series 7 ; 24 licenses required or obtained within 120 days. + A bachelor's… more
- Principal Financial Group (New York, NY)
- …highly preferred + FINRA licensing, including the SIE or equivalent, series 7 , 63 required or ability to obtain **Skills That Will Help You Stand Out** ... + Experience across multiple asset classes, with a tilt towards real estate. Equities, Fixed Income, Credit, Infrastructure, or Alternatives experience is also a plus + CFA + Goal and metrics orientated, demonstrated ability to build strong cultural and… more
- Bank of America (New York, NY)
- …+ Customer Service Management + Process Simplification **Required Qualifications:** + Series 7 , 63/65 or 66 or equivalent; must obtain all state registrations held ... of individuals with certain specified criminal history for the position: FDIC; FINRA **Minimum Education Requirement:** High School Diploma / GED / Secondary School… more
- Raymond James Financial, Inc. (New York, NY)
- …of: Securities Exchange Commission (SEC), Financial Industry Regulatory Authority ( FINRA ), state securities and banking regulatory agencies, Federal Deposit ... or the ability to obtain within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain within 120 days of employment o Series 9 and 10… more
- SMBC (New York, NY)
- …both written and oral Strong follow-through on tasks **Qualifications and Skills** 7 + years in Project Finance agency position Experience with Project Finance ... 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.… more