- US Bank (New York, NY)
- …of experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and 63/65 combination ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Charles Schwab (Albany, NY)
- …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 the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused… more
- Citigroup (New York, NY)
- …and escalating, managing and reporting control issues with transparency. **Qualifications:** + ** FINRA Series 7 and 63 licenses are required.** + 10-15 ... Bloomberg, booking systems, trading protocol, closing technicalities + Relevant FINRA registrations/licenses **Education:** + Bachelor's degree / University degree… more
- TD Bank (New York, NY)
- …priorities to meet deadlines** + **Experience presenting to management and regulators** + ** FINRA series 7 and 24** + **Life and Health Insurance License** ... and Exchange Commission (SEC) and Financial Industry Regulatory Authority** **( FINRA )** **Customer Accountabilities:** + Assists in the development and… more
- MUFG (New York, NY)
- …environment + Proactive attitude accustomed to taking initiative and solving problems + FINRA Series 7 , 63 or 79 license **Compensation & Benefits:** The ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Citigroup (New York, NY)
- …(mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + In-depth knowledge of ... wealth management services, with a focus on estate planning, tax strategies, and business succession for HNW and UHNW clients. + Strong analytical and portfolio management skills, including risk management and compliance expertise. + Proven track record in… more
- Raymond James Financial, Inc. (New York, NY)
- …experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7 , Series 55 and Series 63 Licenses. ... Statistics or Financial Engineering or Business and a minimum of (5) five to ( 7 ) seven years of experience in Quantitative Development & Research. ~or~ + Any… more
- KeyBank (Tarrytown, NY)
- …sales and business development experience with proven results required **Licenses and Certifications** + FINRA Series 7 and 66 (or 63 & 65) (preferred) + ... Certified Financial Planner (CFP) (preferred) + Certified Investment Management Analyst (CIMA) (preferred) + Certified Public Accountant (CPA) (preferred) + Chartered Financial Analyst (CFA) (preferred) + Licensed Attorney/JD (varies by state) (preferred) +… more
- JPMorgan Chase (New York, NY)
- …+ Frequent travel required + 4-year degree required; MBA, CFA, CIMA a plus. + FINRA Series 7 , 63. JPMorganChase, one of the oldest financial institutions, offers ... manager, we oversee nearly $200 Billion in alternative assets and manage over $1. 7 Trillion in assets for wealth managers worldwide. Our deep experience and scale… more
- Broadridge Financial Solutions (New York, NY)
- …(roughly 35%) to client sites and events. + PowerBI skills are a plus + Current FINRA Series 7 and Series 63 license or ability to qualify for one required. ... Salary range: $120,000.00 - $150,000.00 + 15-30% Sales Bonus Eligible. Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education. Please visit… more