Series 7 Jobs in New York
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Search Results - Series 7 Jobs in New York
ThinkEquity LLC-New York
Institutional Equity Sales - Series 7
Leading NYC based investment bank is expanding its institutional equity sales department. Duties include identifying and qualifying institutional investors (mutual funds, hedge funds, pension funds, family...
mindmatch.ai -
Phaxis LLC-New York
Commodites CMA , must have series 7, and prefers 57, 24, 4, 3 , etc
Plusses:
Day-to-Day Responsibilities:
PROVIDE A SHORT WRITE-UP ABOUT THE JOB IN YOUR OWN WORDS - DO NOT JUST COPY AND PASTE THE JOB DESCRIPTION YOU RECEIVED FROM THE CLIENT...
resume-library.com -
CitiStaffing-New York
allocation of trades, processing client requests) is important in this role.
SERIES 7, 63 or 66 required. Facility with technology, including using a PMS, and, strong Microsoft Excel skills required. Candidate will have an excellent opportunity to advance...
mindmatch.ai -
Phaxis LLC-New York
Proficiency in researching clearance against Investment Banking transactions is mandatory.
Working knowledge of applicable Client rules, SEC rules, and industry standards.
Securities licenses such as Series 7 and 24 are strongly preferred.
Base salary...
resume-library.com -
ASSET STAFFING, INC.-New York
to:
• Back Office Operations
• Middle Office
• Regulatory
• Client Service Specialist- Series 7
• Fixed Income Operations
• Trade Support
• Administration
• Accounting
• Tax Operations - All levels
• Research Assistant
• Assistant Analyst
• Project Managers...
mindmatch.ai -
Phaxis LLC-New York
below)
10+ years of related experience in a broker/dealer operation and/or compliance position
Client Series 7, 24, 63 licenses required.
Understanding of Client, SEC and other regulatory requirements around trading and market making activities...
resume-library.com -
ThinkEquity LLC-New York
offices) to market firms equity transactions, offer corporate access to investors and book deal and non deal roadshows both in the US and overseas.
College degree and Series 7 license preferred along with strong work ethic, strong phone communications...
mindmatch.ai -
First Citizens Bank-New York
Series 7, 65 or 66 licenses, and State Life & LTC Insurance License Required, Advanced Advisor/ Planning Designation Preferred
If hired in New York, the base pay for this position is generally between $197,000 to $300,000 per year. Actual starting base...
Emergent365-New York
experience at a broker dealer
• Expertise in Reg ATS, Reg NMS & Reg Reporting Requirements CAT, TRF, etc.
• Series 7, 14, 24 or willingness to obtain
Group Overview
We are a world leading provider of market infrastructure. Our purpose is to provide...
mindmatch.ai -
First Citizens Bank-New York
Banking, or Wealth Management
License or Certification Type: Possess valid Series 7, 63 & 65 or 66 licenses Required
Skill(s): Credit underwriting skills
The base pay for this position is generally between $163,000 and $250,000. Actual starting base...
Empower-New York
preferred
• 10+ years of relatable industry leadership experience
• Certified Financial Planner (CFP) designation, required
• FINRA fingerprinting required
• FINRA Series 7, 24, & 66, required
What will set you apart
• Demonstrated success leading...
Goldman Sachs-New York
experience Excellent attention to detailDemonstrable quantitative and qualitative analysis skillsDemonstrable communication skills, both spoken and writtenFamiliarity with investment management product offeringsSIE, Series 7 and Series 63 required (must...
New York
quality institution serving wealth and institutional marketplace.
• Strong academic background with an undergraduate degree and possibly an MBA, other graduate degree, or CFA
• Registered representative: FINRA Series 7 & 63 is a plus
Skills:
• Investment...
rockco.com -
PwC-New York
licenses (e.g., Series 6, Series 7).
Preferred Knowledge/Skills
• Demonstrates extensive knowledge and/or a proven record of success in the Asset and Wealth Management industry including the following areas:
Wealth Management, Broker Dealer, Wire house...
jobvertise.com -
New York
Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.
Compensation & Benefits
• Performance-based earnings and revenue^1...
icims.com -
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