- Guardian Life (Albany, NY)
- …broker/dealer as a plus. + Prior examination, auditing or testing experience. + 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
- Raymond James Financial, Inc. (Somers, NY)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 required. + Series 63, 65 and/or 66 as ... + Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office. + Onboards new clients, opens new client accounts and researches client and security information using internal databases… 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
- TD Bank (New York, NY)
- …proven track record in a high-level management role within wealth management or private banking + FINRA Series 7 , 24, and 66 (or equivalent - Series 9, 10) + ... Must have extensive Wealth Management leadership experience + Extensive understanding of current compliance and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and B/D Operations, investment products, trust… more
- Bank of America (Garden City, NY)
- …of absence or seasonal need increases, while leading with a client first mindset **Desired Qualifications:** + Series 7 & 66 (or both the Series 63 & 65 in ... lieu of the 66) preferred **Skills:** + Account Management + Client Management + Customer and Client Focus + Issue Management + Oral Communications + Business Development + Client Solutions Advisory + Pipeline Management + Prioritization + Administrative… more
- Charles Schwab (Mount Kisco, NY)
- …role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series 66 ... (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- JPMorgan Chase (New York, 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 ... a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license must be obtained within 60… more
- Robert Half Finance & Accounting (Utica, NY)
- …for career advancement. Requirements Qualifications + Active securities and advisory licenses ( Series 7 , Series 65/66, or equivalent). Required + ... Certified Financial Planner (CFP) designation or willingness to obtain. + Bachelor's degree in Finance, Business, Economics, or related field Preferred + Proven experience in financial planning, investment advising, or wealth management. + Strong interpersonal… more
- Citigroup (New York, NY)
- …Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. + Must meet ALL US FINRA Registration requirements within ... 150 days of starting in the role. + Insurance Group 1 required. + Must meet ALL Insurance Group 1 requirements within 150 days of starting in the role. + This position requires the employee to register as a mortgage loan originator with the Nationwide Mortgage… more
- JPMorgan Chase (New York, NY)
- …Ability to utilize Bloomberg + Skilled at MS Office Suite (Word and PowerPoint) + FINRA Series 7 and Series 63 JPMorganChase, one of the oldest financial ... institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase brands. Our history spans over 200 years and… more