- 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
- TD Bank (New York, NY)
- …rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA , SEC, CFTC, NYSE, and OCC. + Excellent oral and written communication skills. ... + Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment. + Ability to project confidence and professionalism in dealings with senior business personnel. + Strong knowledge of… more
- NBT Bank (Williamsville, NY)
- …knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA Series 7, Series 63 and life insurance license or a Registered ... Investment Advisor (RIA) Tasks Performed: + 40% Conducts regular client review meetings to uncover additional investment and insurance needs and to develop deeper relationships through financial planning with a focus on retention and replication of their best… more
- Truist (New York, NY)
- …prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II. 3. Minimum of 10 years of related ... work experience 4. Proven domain expertise and thought leadership in the industry. 5. Strong relationships with senior level, meaningful institutional buy-side clients. 6. Strong relationships with C-level corporate executives. 7. Advanced analytical and… 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
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to ... maximize their performance in today's financial markets. We trade the US Equity Markets only. Our proprietary traders focus primarily on technical analysis to develop their trading strategies. By utilizing multiple time-frames, our traders exercise position,… more