- Edward Jones (Fresh Meadows, NY)
- …and/or military career progression **Licensing:** + SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not ... Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses...ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training… more
- Citigroup (Yorktown Heights, NY)
- …+ Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. + Must meet ALL US FINRA Registration ... requirements within 150 days of starting in the role. + Insurance Group 1 required. + Must meet ALL Insurance Group 1 requirements within 150 days of starting in the role. + This position requires the employee to register as a mortgage loan originator with the… more
- Citizens (Rochester, NY)
- …receive training materials, coaching, and dedicated time and support to successfully pass your Series 7 and 66 exams. The Investment Assistant II works closely ... and preparation, and audit preparation while adhering to all FINRA , CCOIS, CFG and state securities regulations on a...SIE licenses required + Must be able to obtain Series 7 and 66 within specific timeframe… more
- Thrivent Financial (New York, NY)
- …as you obtain your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor ... or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. +… more
- TD Bank (New York, NY)
- …& Experience:** + Undergraduate degree in Business (Accounting or Finance) or Mathematics/Economics + Series 7 and 63 + 5- 7 Years of related experience ... Electronic and Algo Trading rules and regulations, more specifically FINRA and SEC (eg, SEC Reg NMS, SEC Reg...SEC Reg NMS, SEC Reg SHO, SEC Rule 15c3-5, FINRA 5310 - Best Execution Rule, SRO Rules), industry… more
- JPMorgan Chase (Pittsford, NY)
- …and investment industry, demonstrating a strong understanding of industry practices. + Valid and active Series 7 , 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA ... demonstrating expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and regulations, ensuring adherence to industry… more
- JPMorgan Chase (Buffalo, NY)
- …+ Demonstrated ability and commitment to goals-based planning and advice + A valid and active Series 7 + A valid and active Series 66 (63/65) license is ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- Edward Jones (Syracuse, NY)
- …in your ability to think critically + Passion for new opportunities **Candidate qualifications:** + Series 7 and Series 66 required + Experience in financial ... the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los… more
- JPMorgan Chase (Lake Grove, NY)
- …and foster team culture **Required qualifications, capabilities, and skills** + A valid and active Series 7 license is required or may be obtained within a 60 ... Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license...(JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase… more
- JPMorgan Chase (Fayetteville, NY)
- …effectively with clients and team members while maintaining professionalism. + A valid and active Series 7 license is required or must be obtained within 60 days ... a condition of employment + A valid and active Series 66 (63/65) license is required or must be...(JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase… more