- Citigroup (New York, NY)
- …(mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + In-depth knowledge ... of wealth management services, with a focus on estate planning, tax strategies, and business succession for HNW and UHNW clients. + Strong analytical and portfolio management skills, including risk management and compliance expertise. + Proven track record in… more
- JPMorgan Chase (New York, NY)
- …of experience in the equity plan or workplace industry. + FINRA Securities Industry Essentials, Series 7 , and Series 63 licenses required for the position; ... candidates without licenses must obtain them within 90 days of start date. + Proven ability to operate effectively in a matrix organization, managing tight deadlines and multiple stakeholders. + Exceptional public speaking skills. + Strong communications… more
- JPMorgan Chase (Brooklyn, NY)
- …Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7 , 66 (or equivalent) is required + A valid and active FINRA Series ... 9/10 (or equivalent) is required and must be obtained or retained within a 60 day condition of employment + Proven ability to recruit, source and attract internal and external Advisor talent by building and maintaining personal network of contacts + High… 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
- Raymond James Financial, Inc. (New York, NY)
- …Licenses/Certifications: + Successful completion of the SIE Exam and obtainment of the Series 7 and Series 79 within 180 days of employment. The estimated ... base salary range for this position at the time of posting is outlined below and excludes additional forms of compensation or benefits. This position may also quality for a discretionary annual bonus, which is determined by company, business unit, and… 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) ... escalating, managing and reporting control issues with transparency. **Qualifications:** + 3- 7 years of relevant experience + Prior experience in wealth management… 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) ... escalating, managing and reporting control issues with transparency. **Qualifications:** + 3- 7 years of relevant experience + Prior experience in wealth management… more
- Capital One (New York, NY)
- …+ Strong quantitative background to support data-informed decision making. + Designations including Series 7 / 63 License or Chartered Financial Analyst (CFA) ... of experience working in Product Management + At least 7 years of experience in securities origination or trading...or trading management in Capital Markets + At least 7 years of experience in risk oversight or operational… more
- Truist (New York, NY)
- …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of trading floor rules and ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
- TD Bank (New York, NY)
- …degree is an asset + 7 + years of US product/investment industry knowledge + Series 7 , 24, 66 (or equivalent) FINRA Registrations + Experience with the wealth ... industry and markets across segments, coupled with strong product management experience + Comprehensive knowledge of the design, development, implementation and profitability of product development and marketing in a financial/banking environment required +… more