- Siebert Williams Shank (New York, NY)
- …securities broker-dealer and member of the Financial Industry Regulatory Authority ( FINRA ) and the Municipal Securities Rulemaking Board (MSRB). Our diverse ... professionals are not only committed to providing the highest level of value-added services to our clients but also committed to improving the communities in which we work and live. We have a 25+ year track record built on integrity, experience and results.… more
- City National Bank (New York, NY)
- …experience using basic software programs like Word, Excell, Power Point, etc. * FINRA Series 7: General Securities Rep *Additional Qualifications* * Completion of or ... pursuit of CFA designation, MBA or both. * Excellent knowledge in the following areas: asset management, banking/credit, personal trust, and brokerage services. * Excellent analytical and financial analysis skills. * Strong computer skills with knowledge in… more
- Siebert Williams Shank (New York, NY)
- …those over time. Requirements + 5+ years of experience in Institutional Sales + FINRA Series 7 and 63 registrations required + Established book of fixed income ... relationships + Highly developed sales and communication skills + Proficient in Bloomberg, Microsoft, Excel + Excellent time management and organizational capabilities; high energy, tenacious, and creative + Ability to work well as part of a team + Enthusiasm… more
- Marex (New York, NY)
- …banks + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the operational ... risk framework for your role ensuring that all regulatory or company determined parameters are complied with. + Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values. + At all times complying with Marex's… more
- JPMorgan Chase (New York, NY)
- …well under pressure + Strong knowledge of Bloomberg, Microsoft Excel, Word and PowerPoint + FINRA Series 7 and 63 licenses are required for the role, but can be ... obtained after joining the team **Preferred qualifications, capabilities, and skills:** + Fundamental understanding of Python or VBA is preferred JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of… more
- MUFG (New York, NY)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… 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
- Citigroup (New York, NY)
- …10+ years of experience in Commercial Banking with technology client exposure + Active FINRA Licensing, 79, 63 and SIE or ability to obtain once onboard + ... Self-starter with a team player mindset - proven track record of robust new client acquisitions and sound risk management + Sound knowledge of banking and investment products and process + Demonstrates intermediate to advanced credit skills; structures more… more
- Citigroup (New York, NY)
- …Portfolio Margin, Enhanced Leverage) + Previous experience interacting with Regulators ( FINRA , SEC, FRBNY) + Previous experience in legal contract negotiations a ... plus + Ability to work across trading floor, including partnering with trading desks, Quantitative analysts and Risk functions to drive product capabilities that deliver business growth or reduce risk + Demonstrated quantitative and analytical skills, with a… 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