FINRA Jobs in Rochester
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Search Results - FINRA Jobs in Rochester
Equitable Advisors-Rochester-
entrepreneurial spirit with a desire to positively impact others' lives
• Collaboration: ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided...
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Chase-Rochester-
and influencing skills, with the ability to establish credibility and strong partnership with senior business and control partners
• Deep local connections and market knowledge
• Corporate finance expertise and strong transaction execution skills
• FINRA Series 79...
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JK Executive Strategies, LLC-Rochester-
compliance with FINRA, SEC, Raymond James, and firm policies.
Requirements
• Bachelor’s degree in business, Finance, Economics, or a related field.
• FINRA Series 7 and Series 66 (or equivalent) licenses required.
• Three or more years of experience...
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New York Life-Rochester-
annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities...
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Lloyds Bank-Rochester-appcast.io-
differentiate Lloyds offering.
• Actively record relationship/ client details, client activities and client transactions.
• Always to undertake the duties of this role in accordance with the requirements of SEC, FINRA and all other regulators of LSI and its...
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LPL Financial LLC-Rochester-appcast.io-
and advisory requirements, SEC and FINRA rules and regulations, banking and lending legal frameworks, and the legal and regulatory considerations associated with financial product development and management.
• JD and an undergraduate degree from accredited...
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JPMorganChase-Rochester-appcast.io-
Capabilities, and Skills
• Ten plus years of work experience in Private Banking or Financial Services industry
• Fluent in English. Other languages is a Plus
• Five plus years of experience in a leadership position
• Bachelor's degree required
• FINRA Series 7...
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