Series 7 Jobs in New York State
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Search Results - Series 7 Jobs in New York State
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...
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MissionSquare Retirement-New York
religion, sex, national origin, or any other protected classifications under any applicable law.
Salary: $107,790 + bonuses
Licenses & Certifications
Required
Cert Financial Planner
FINRA Series 7
FINRA Series 63...
Phaxis LLC-New York
Plusses:
Series 7
Experience within broker dealer or clearing firm...
resume-library.com -
Michael Page-New York
and confidential work ethic
• SIE, Series 7, and Series 24 required for the role, but not a prerequisite
Job Offer
Opportunity to grow and be exposed to every facet of broker dealer compliance.
MPI does not discriminate on the basis of race, color, religion, sex...
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...
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Michael Page-New York
securities markets, and applicable reporting requirements;
• 7-10 years of experience supporting fixed income compliance at a broker-dealer;
• College Degree is required;
• Series 7 and 24 or ability to obtain the licenses upon hiring; and
• Strong writing...
B2B CFO Partners, LLC-Bay Shore (NY)
as a CFO (or equivalent, such as financial vice president/VP of finance) in privately held companies within the USA
• At least 15 years of professional experience since college graduation
Bonus:
• Has a series Series 7 and/or 79 license
Please Note...
appcast.io -
Equitable Advisors-Plainview (NY)
life and health licenses, FINRA Series 7 and 63 registrations
• Possesses integrity, a strong work ethic and the desire to help others plan for and protect their economic futures
• Team player who possesses excellent interpersonal skills...
jobvertise.com -
Kestra Financial Independent Advisor-Wappingers Falls
but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
Previous experience in the independent financial services culture preferred
Certificates, Licenses, and/or Registration
Series 7 and 65/66 license required...
resume-library.com -
New York
Studying towards or already passed SIE and pass the Series 7 and Series 63 within 3 months of employment
• Strong Python- Excel Skills
• Must possess a strong, ongoing interest in the financial markets with emphasis on a dealer’s front-office Sales...
icims.com -
Odeon Capital Group-New York
sales experience.
Active FINRA Series 7 and 63 licenses.
Expertise and knowledge in the US Treasury market.
A client book of business that will transfer to Odeon.
Benefits
Health Care Plan (Medical, Dental & Vision)
Retirement Plan (401k)
Paid...
resume-library.com -
Capital One-New York
legal, audit, operations or finance within financial services OR at least 7 years of experience working for a regulator overseeing broker dealers or investment advisers
• FINRA licensed with valid Series 7 or 79
Preferred Qualifications
• Master’s...
Edward Jones-Potsdam (NY)
or certification
• Professional and/or military career progression
Licensing:
• SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during...
Michael Page-Manhattan (NY)
of experience supporting fixed income compliance at a broker-dealer;
• College Degree is required;
• Series 7 and 24 or ability to obtain the licenses upon hiring; and
• Strong writing skills.
What's on Offer
• Competitive Base + Bonus
• Hybrid Working...
michaelpage.com -
Edward Jones-East Patchogue
or certification
• Professional and/or military career progression
Licensing:
• SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during...
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