- Citigroup (New York, NY)
- …structures (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. +… more
- Raymond James Financial, Inc. (New York, NY)
- …combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7 , Series 55 and ... 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
- Scotiabank (New York, NY)
- …Bloomberg and other applications associated with financial markets + The liicenses needed for this position: FINRA 's Series 7 , Series 79, Series 63 ... (candidate needs to be licensed already) **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That's why we work to grow and diversify talent and engage… more
- US Bank (New York, NY)
- …with financial planning technology platforms - Proven ability to build and maintain relationships - FINRA Series 7 & 63, or willingness to obtain If there's ... 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
- MUFG (New York, NY)
- …unstructured environment + Proactive attitude accustomed to taking initiative and solving problems + FINRA Series 7 , 63 or 79 license **Compensation & ... 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)
- …+ Relevant experience in Capital financial industry; compliance/supervisory/business risk experience preferred + FINRA Series 7 , 66 (63/65), 24 and 31. ... Series 9/10 also preferred + Knowledge of Bank and Broker-Dealer businesses, regulatory requirements and related policy + Knowledge of Investment products including complex products (Alternatives, Structured Notes and Derivatives) + Ability to assess and… more
- NBT Bank (Williamsville, NY)
- …+ Advanced 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… more
- KeyBank (New York, NY)
- …the stock market. **Licenses and Certifications** + Candidates will be required to complete the FINRA Series SIE, 7 , 63, 86, 87 licenses. **Tactical Skills** ... Bachelor's degree in Finance, Accounting, or Economics. + CFA, CPA, or FINRA Series licenses is a plus. **Experience Qualifications:** + Candidate should possess… 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, ... 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