- 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 (New York, 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
- 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
- Capital One (New York, NY)
- …+ Strong quantitative background to support data-informed decision making. + Designations including Series 7 / 63 License or Chartered Financial Analyst (CFA) ... requirements relevant to the bank's Broker Dealer (SEC / FINRA ) and Swap Dealer (CFTC / NFA) activities. +...of experience working in Product Management + At least 7 years of experience in securities origination or trading… more
- Huntington National Bank (New York, NY)
- …in the Consumer & Retail industry, especially Treasury Management and Capital Markets. + FINRA SIE and Series 79 & 63 required. Preferred Qualifications: + ... the sales team. Basic Qualifications: + Bachelor's Degree + 7 or more years of Commercial Banking experience within...the bank + MBA in Finance or Accounting + 7 - 10 years of middle market lending experience… more
- JPMorgan Chase (Brooklyn, NY)
- …or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week. **Job responsibilities** + Delivers an exceptional customer experience by… more
- BMO Financial Group (New York, NY)
- …knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Series 7 , 63, 24 a plus. + Typically minimum of 6 years of ... growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone… more
- JPMorgan Chase (New York, NY)
- …1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week + Adheres to policies, procedures, and regulatory banking requirements… more
- Citigroup (New York, NY)
- …a high proficiency in Excel and PowerPoint + Must be able to obtain the Series 7 , 63 **Job Family Group:** Product Management and Development **Job Family:** ... Portfolio Margin, Enhanced Leverage) + Previous experience interacting with Regulators ( FINRA , SEC, FRBNY) + Previous experience in legal contract negotiations a… more
- SMBC (New York, NY)
- …resolved. + Must be well organized with project management skills. + BA/BS required. Series 7 , 79 a plus. SMBC's employees participate in a Hybrid workforce ... Firm. **Qualifications and Skills** Critical Job Knowledge and Core Competencies/Skills: + 4- 7 years of regulatory and/or advisory compliance experience at a broker… more