- Bank of America (New York, NY)
- …fast-paced and collaborative work environment. + MS, MBA and/or CFA are desirable + FINRA registered representative with Series 7 & 63 required at time of hire or ... within 120 days of hire **Skills:** + Analytical Thinking + Customer and Client Focus + Financial Management + Presentation Skills + Risk Management + Business Development + Client Management + Client Solutions Advisory + Market Analysis + Negotiation +… more
- SMBC (New York, NY)
- …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 ###@smbcgroup.com. more
- SMBC (New York, NY)
- …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 ###@smbcgroup.com. more
- SMBC (New York, NY)
- …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 ###@smbcgroup.com. more
- Bank of America (New York, NY)
- …as a team player in a dynamic, fast-paced and collaborative work environment. + FINRA registered representative with Series 7 & 66 required. + MS, MBA and/or CFA ... are desirable but not required. **Skills:** + Analytical Thinking + Customer and Client Focus + Financial Forecasting and Modeling + Financial Management + Risk Management + Causation Analysis + Client Management + Market Analysis + Presentation Skills +… more
- Broadridge Financial Solutions (Edgewood, NY)
- …observability tooling (Datadog, similar others). + Exposure to regulatory environments ( FINRA , SEC, etc.) and audit-readiness practices. Soft Skills: + Strategic ... mindset with a hands-on approach. + Strong verbal and written communication skillsable to translate technical concepts into business terms. + Leadership qualities to guide and influence without direct authority. Compensation Range: The salary range for this… more
- US Bank (New York, NY)
- …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 ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… 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
- Capital One (New York, NY)
- …or transaction advisory experience with a focus on sell-side Mergers and Acquisitions + FINRA Licenses - 63, 79, SIE **_At this time, TripleTree as part of Capital ... One will not sponsor a new applicant for employment authorization for this position._** _\#CapMkts #TripleTree_ The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely… more
- Raymond James Financial, Inc. (New York, NY)
- …education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7, Series 55 and Series 63 Licenses. (Preferable but ... + Analyzes and provides quantitative analysis of Raymond James (RJ) historical trade data from several sources. + Creates back-testing models to evaluate and optimize the firm's trading strategies. + Initiates and maintains excellent working rapport with… more