- Edward Jones (New York, 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 ... within the securities/financial services industry + Financial services and/or sales experience + Financial services registration, licensing, or certification +… 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 ... not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management + Assist with ad-hoc projects and/or workflow testing as assigned… more
- Wells Fargo (New York, NY)
- …and servicing; investment banking; equity; and fixed income solutions including sales , trading, and research capabilities to corporate, commercial real estate, ... & Environmental Finance to achieve goals **Required Qualifications:** + 7 + years of Experience in CIB Portfolio Management, or...Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be… more
- Citigroup (New York, NY)
- …+ Applicable licenses: Will be required to either already have or apply upon arrival for Series 7 and 63. + 6-10 years of experience in a comparable quantitative ... and strategy code. + Work in close partnership with Sales team, Product, Technology teams, Risk & Control team,...is a plus. + Experience with Q/KDB or time series databases is desirable. + Good communication skills, both… more
- JPMorgan Chase (New York, NY)
- …related roadshows **Required qualifications, capabilities, and skills:** + Bachelor degree required. + SIE, Series 7 and Series 63 are required. + Minimum ... facilitate manager and investor document negotiations + Interact with CLO Issuers, Structuring, Sales throughout all phases of the deal + Cultivate and develop new… more
- Guardian Life (New York, NY)
- …+ Minimum 3-5 years' recent experience in financial services fraud investigations + Series 7 and CAMS and/or CFE designation strongly preferred (or willingness ... while focusing on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness, ability to… more
- Citigroup (New York, NY)
- …to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7 , Series 66 required (or obtained within 120 days) ... of our core client coverage team + Partner with sales teams to exceed client expectations and make client...managing and reporting control issues with transparency. **Qualifications:** + 3- 7 years of relevant experience + Prior experience in… more
- Citigroup (New York, NY)
- …to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7 , Series 66 required (or obtained within 120 days) ... Wealth at Work. **Responsibilities:** + Partner with Banker in the creation of sales and marketing strategies designed to generate revenue growth and to acquire new… more
- KeyBank (Albany, NY)
- …experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm. *FINRA Series 7 , 63 & 65 (or 66), 24, and 53 licenses ... the principal supervision and surveillance of all bank brokerage, advisory and insurance sales activities. This includes, but is not limited to, new account opening,… 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 ... and escalates key issues arising from Global Markets trading, sales and origination business activities; and executes delegated supervision accountabilities… more