- ADP (New York, NY)
- …Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with ... ADP is hiring a ** Sales Representative for Retirement Services** . + **_Are...401(k) solutions. With a little help from our top-notch sales training, you'll connect with both new and existing… more
- Truist (New York, NY)
- …and managing risks within Truist Public Finance and Municipals origination and sales and trading businesses. This position will be responsible for leading a ... support and oversight for change activities (both business and regulatory change). 6 . Provide oversight and support for open risk, audit, and regulatory issues.… more
- Wells Fargo (Yorktown Heights, NY)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... and connect customer with the appropriate partner or relationship manager to meet their needs + Partner with financial...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- Neuberger Berman (New York, NY)
- …is seeking an Alternatives Specialist to join the North American Intermediary Sales team in the New York office. **Responsibilities** + Support of Alternatives ... constituencies of the Fund, including the Private Markets Investment Team, Sales Management, Client Advisors, and Marketing. + Present Neuberger's private equity… 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, ... flow on shareholder activism and hostile M&A + Receive direction from a manager and exercise independent judgment while developing an understanding of compliance and… more
- Truist (New York, NY)
- …enable individuals with disabilities to perform the essential functions. 1. BA/BS degree 2. Licenses: Series 7 or 79, 63 3. 6 years of related work experience 4. ... on internal client management duties and business planning as specified by manager and team **Essential Duties and Responsibilities** Following is a summary of… more
- Neuberger Berman (New York, NY)
- …and operations teams. + Serve as a resource for clients, advisors, and sales teams, offering guidance on ETF trading strategies, order execution, and liquidity ... to ensure compliance with regulatory requirements, including Rule 6C-11. **Qualifications:** + 6 + years of relevant experience in ETFs, with direct exposure to… more
- TD Bank (New York, NY)
- …effectiveness, and operational efficiency **Specific Accreditations and Experience:** + FINRA Series 24 and Series79 registered, or commitment to obtain within ... 6 months. + Experience in capital markets, compliance, audit,...business activities, indications of use of unauthorized domains, unapproved sales literature or correspondence **Education & Experience:** + Bachelor's… more
- Neuberger Berman (New York, NY)
- …fast-paced environment + Series 7 and 66 preferred (or obtained within 6 months of start date) \#LI-JG3 \#LI-Hybrid Compensation Details The salary range for ... seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective… more
- Neuberger Berman (New York, NY)
- …operations/servicing capacity + Bachelor's Degree in Finance, Accounting, Business, Science, or Math + Series 7 and 66 licenses within 6 months of joining the ... seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective… more