- Santander US (New York, NY)
- …Ability to thrive in a demanding, fast-paced environment with multiple priorities. **Certifications** FINRA Licenses 79, 7 , and 63 preferred **What Else You Need ... To Know** **:** The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience,… more
- Scotiabank (New York, NY)
- …projects and system upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 6+ years of experience in ... structured sales + Proven track record of established relationships with private banks, broker dealers, RIA's, and asset managers in the US **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are… more
- TD Bank (New York, NY)
- …and Firm policies related to all business activities (eg OCC, SEC, FINRA etc.). Ensures all Continuing Education requirements + are attained + Responsible ... client satisfaction and retention) required + Securities Licensed: Series 7 , 63 + 65 or 66 + Understanding of...regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to… more
- TD Bank (New York, NY)
- …Wealth and broader AMCB businesses + Remains knowledgeable of all OCC, FRB, SEC, FINRA and state regulatory requirements as they pertain to US Wealth activities and ... Certified Financial Planner (CFP) designation is preferred + Series 7 , Series 63 + 65 or 66 and Series...+ 65 or 66 and Series 24 Supervising Principle FINRA Registrations; Health and Life Insurance Licensure + Knowledge… more
- Citigroup (New York, NY)
- …desirable + Ability to manage relationships both internal and external; Ability to multi-task + FINRA Securities Licenses: Series 7 and 66 (or 63 & 65) required ... to obtain within 150 days of assuming the role. **Education:** + Bachelor's/University degree or equivalent experience **Job Family Group:** Private Client Coverage **Job Family:** Private Banker Support **Time Type:** Full time **Primary Location:** New York… more
- Citigroup (New York, NY)
- …and operational/settlement procedures + Prior experience in a client facing role + FINRA Licenses **SIE, 3, 7 , 63** **Education:** + Bachelor's degree/University ... degree or equivalent experience + Master's degree preferred **Job Family Group:** Institutional Sales **Job Family:** Investor Sales **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:**… more
- Citigroup (New York, NY)
- …organizational skills + A willingness and ability to work within a strong team ** Finra Licenses:** Licenses Required: 7 & 63 **Job Family Group:** Institutional ... Sales **Job Family:** Investor Sales **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:** $200,000.00 - $300,000.00 In addition to salary, Citi's offerings may also include, for eligible… more
- Motion Recruitment Partners (New York, NY)
- …and listening in English. * Time management skills. **Desired Skills & Experience** * FINRA registrations (eg, Series 7 , 55, 63). * Experience or comfort with ... EDGAR filings and regulatory documentation is ideal. **What You Will Be Doing** * Use hands-on experience with trading systems to support the operations, compliance, and governance of the company's Alternative Trading System (ATS). * Will produce and reconcile… more
- Citigroup (New York, NY)
- …of all Citi Private Bank banking and product systems, platforms, tools and capabilities. + FINRA Securities Licenses: Series 7 and 66 (or 63 & 65) **Education:** ... + Bachelor's/University degree, Master's degree preferred **Job Family Group:** Private Client Coverage **Job Family:** Private Banker **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:**… more
- Citigroup (Smithtown, NY)
- …to lead, motivate, and influence others + Excellent verbal and written communication skills + FINRA licenses required: SIE - 7 , 66, 9 and 10 or equivalent ... Education: + Bachelor's/University degree, Master's degree preferred **Job Family Group:** Private Client Coverage **Job Family:** Franchise Administration **Time Type:** Full time **Primary Location:** Smithtown New York United States **Primary Location Full… more