- Motion Recruitment Partners (New York, NY)
- …verbal 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… more
- Citigroup (New York, NY)
- …knowledge 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… more
- JPMorgan Chase (New York, NY)
- …or equivalent. + 5+ years of experience in the equity plan or workplace industry. + FINRA Securities Industry Essentials, Series 7 , and Series 63 ... licenses required for the position; candidates without licenses must obtain them within 90 days of start date. + Proven ability to operate effectively in a matrix organization, managing tight deadlines and multiple stakeholders. + Exceptional public speaking… more
- HSBC (New York, NY)
- …products + Strong skills in Excel and PowerPoint. Bloomberg skills would be viewed positively + FINRA series 63, 79 and 7 licenses are required. Manager can ... allow a contingency period to obtain licenses at their discretion In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must be legally authorized to work in the US as HSBC will not engage… more
- Bank of America (New York, NY)
- …dynamic, 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 +… more
- Bank of America (New York, NY)
- …to work 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… more
- BlackRock (New York, NY)
- …review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; Series 63 and 24 preferred (absolutely ... work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory compliance of marketing...income. + Develop and apply a robust knowledge of FINRA advertising rules, '40 Act and '33 Act communications… more
- PNC (New York, NY)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... Derivatives - SIE, Series 7 and 63 within 120 days...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- TD Bank (New York, NY)
- …capacity (ie track record of high client satisfaction and retention) required + Securities Licensed: Series 7 , 63 + 65 or 66 + Understanding of HNW client needs ... policies related to all business activities (eg OCC, SEC, FINRA etc.). Ensures all Continuing Education requirements + are...regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to… more
- Equitable (New York, NY)
- …or equivalent skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more