- Neuberger Berman (New York, NY)
- …creation, coordination, and completion of client reporting **Experience and Skills Qualifications:** + SIE, Series 7 , and Series 66 required + 2-4 years of ... client service or support experience in the financial services industry preferred + Proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook) + Familiarity with Charles River, Salesforce, and FactSet, is a plus + Strong interpersonal, client service,… 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 ... 3-5 years experience in CLO's. + High level of attention to detail + Excellent verbal and written communication skills . + Ability to effectively present complex information to clients, investors, and internal stakeholders. + Strong understanding of the… more
- Equitable (Melville, NY)
- …or equivalent skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a ... track record of success and accomplishment + **Communication Skills** : excellent interpersonal and communication abilities with strong self-confidence + **Mindset** : entrepreneurial spirit with a desire to positively impact others' lives + **Collaboration**… more
- BlackRock (New York, NY)
- …advertising review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; Series 63 and 24 preferred ... (absolutely required within 2 months). + Excellent organizational and interpersonal skills; should be solutions driven, confident, and a highly motivated colleague with outstanding integrity. + Strong analytical skills, clear writing style, acute attention to… more
- TD Bank (Brooklyn, NY)
- …of success + In-depth knowledge of investment products and services + Required Registrations: SIE, Series 7 and Series 65/66 required - if the TFA only ... has 65 they will be required to obtain a 63 or 66 within the Licensing & Registration Schedule + Required Life/Health Licenses or ability to obtain within Licensing & Registration Schedule + Advanced understanding of wealth management business development… more
- NBT Bank (Vestal, NY)
- …knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA Series 7 , Series 63 and life insurance license or a ... Registered Investment Advisor (RIA) Tasks Performed: + 40% Conducts regular client review meetings to uncover additional investment and insurance needs and to develop deeper relationships through financial planning with a focus on retention and replication of… 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 ... them within four (4) months from the start date. + Life, Health and Variable Annuity or the ability to obtain within six (6) months from the start date. _The Plattsburgh Raymond James office_ _and its employees are_ **_independent contractors with respect to… more
- JPMorgan Chase (Brooklyn, NY)
- …in trading operations or related field. + Familiarity with trading technologies and platforms. + Series 99 or Series 7 certification. + Experience in trade ... reconciliation and reporting. + Knowledge of regulatory requirements in trading. 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… more
- Bank of America (New York, NY)
- …post completion of the program (depending on LOB and role including but not limited to Series 7 , 55, 63, 79) + All rotations during VAP and Full-Time placements ... training + Combination of classroom instruction, e-learning modules, educational speaker series , case studies and presentations from/to line of business throughout… more
- Raymond James Financial, Inc. (Locust Valley, NY)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 required. + Series 63, 65 and/or 66 as ... required by state. + Additional licenses or designations may be required as needed. This associate will be eligible for an annual discretionary bonus and monthly performance payout. more