- BMO Financial Group (New York, NY)
- …Strong understanding of trading procedures and broader regulatory and financial concepts. + Series 7 , 63, and 55 licenses required. + Strong quantitative ... to clients around the world. #bmocapitalmarkets Provides a markets-based suite of sales and trading solutions to Institutional, Corporate, and Retail clients. Offers… more
- Guardian Life (New York, NY)
- …advisor compliance experience, experience at an insurance-affiliated broker/dealer is a plus. + Series 7 ; 24 licenses required or obtained within 120 days. + ... while focusing on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness, ability to… more
- 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
- Raymond James Financial, Inc. (Plattsburgh, NY)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and Series 66 or the ability to obtain ... three (3) years of relevant working experience, demonstrating achievement in sales and relationship management (preferably intangible) or business environment, or an… 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