- Citigroup (Getzville, NY)
- …+ Consistently demonstrated clear and concise written and verbal communication + Required Licensing/Registration: Series 7 , Series 9, Series 10, ... Series 63 **Education:** + Bachelor's degree/University degree or equivalent experience + Master's degree preferred **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time… more
- Hold Brothers (New York, NY)
- …and licensed with our broker-dealer in order to trade at the firm. Either, an active Series 7 and Series 55, Series 56, or 57 are required. We can ... provide Series 57 exam sponsorship to qualified candidates. Retail "Pattern Day Traders" are not required to be registered, and licensed with our broker-dealer. They… more
- Bank of America (Niagara Falls, NY)
- …FSA Stage I must have a general awareness of core banking and investment solutions. Required Skills: Series 7 & 66 must be obtained within 120 days; Series ... 7 and Series 66 (63 & 65 accepted, in lieu of 66, if previously held) is required for FSA Stage I role; Communicate effectively; Strong computer skills with an ability to multitask in a fast paced environment; Ability to adapt and seek solutions for… more
- Truist (New York, NY)
- …products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7 , and 66 licenses ( Series 63 & 65 can ... complex work environment; Capable of handling multiple projects concurrently. 7 . Demonstrated proficiency in basic computer applications, such as...be used in lieu of Series 66). - The annual base salary for this… more
- Raymond James Financial, Inc. (New York, NY)
- …of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7 , Series 55 and Series 63 ... Statistics or Financial Engineering or Business and a minimum of (5) five to ( 7 ) seven years of experience in Quantitative Development & Research. ~or~ + Any… more
- NBT Bank (Fairport, NY)
- …service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not Series 7 licensed, FC will ... be required to obtain license within 90 days. Tasks Performed: + 50% Interviews and profiles customers/prospects to determine investment and insurance needs, recommend appropriate products, and makes appropriate referral to branch or to other members of… 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/or Life and Health, SIE licenses required + Must be able to obtain Series 7 and 66 within specific timeframe required + Understanding of general banking and… more
- Raymond James Financial, Inc. (New York, NY)
- …area required or the ability to obtain within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain within 120 days of employment o ... Series 9 and 10 can be used instead of the 24 * Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and… more
- TD Bank (Flushing, NY)
- …degree strongly preferred + 2+ years of providing advice, planning and investment sales + SIE, Series 7 , Series 63 required + Required to have L&H and ... Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self-directed, with strong ability to plan own activities to… more
- TD Bank (New York, NY)
- …for HNW, MA and/or Institutional clients + Certified Financial Planner (CFP) designation is preferred + Series 7 , Series 63 + 65 or 66 and Series ... 24 Supervising Principle FINRA Registrations; Health and Life Insurance Licensure + Knowledge of Bank regulatory risk and compliance policies, processes, and requirements + Knowledge of Retail Banking systems, applications, processes, and procedures +… more