Series 7 Jobs in New York State
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Search Results - Series 7 Jobs in New York State
CitiStaffing-New York
Portfolio Associate
Job responsibilities include high touch client service, establishing new accounts, trade processing and trade allocations, interfacing regularly with Trading, Compliance. Must follow the markets.
SERIES 7, 63 or 66 required...
CitiStaffing-New York
Job Description
Portfolio Associate
Job responsibilities include high touch client service, establishing new accounts, trade processing and trade allocations, interfacing regularly with Trading, Compliance. Must follow the markets.
SERIES 7, 63...
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...
Storm2-New York
environment
• Deep knowledge of BSA, FINRA, SEC, and state AML regulations
• Hands-on with AML systems and data, with a track record of building efficient, scalable programs
• Series 7, CAMS
What You'll Do
• Regulatory Oversight: Oversee the firm's AML...
First Recruiting, LLC-Garden City (NY)
Wires, ACH, Cash and Asset Movement Supervision and Approvals
College Degree Required
Series 7, 9, 10 Required...
Cantor Fitzgerald-New York
is a plus.
• Series 7 required; Series 24 or ability to obtain within a reasonable timeframe preferred.
• Detail-oriented, proactive, and able to manage multiple priorities in a dynamic environment.
• Collaborative mindset aligned with Cantor Fitzgerald’s...
Cantor Fitzgerald-New York
to translate regulatory requirements into practical guidance.
• Excellent written and verbal communication skills, with the confidence to engage business stakeholders.
• Bachelor’s degree required; JD, MBA, or equivalent is a plus.
• Series 7 required; Series...
Citizens-East Greenbush
insurance, and estate planning.
Qualifications, Education, Certifications and/or Other Professional Credentials
Series 7, 63, 65 (or 66) active and valid.
A valid, active Insurance Life/Health/Variable licenses is required or must be obtained within 60...
mindmatch.ai -
1 similar job: Slingerlands
Toss Securities US LLC-New York
suspicious activity, or sanctions screening.
Qualifications
5. 10 years of experience in brokerage and trading
Bachelorʼs degree in a related field, or equivalent experience and training
FINRA Series 7 license required
Equal Opportunity Employer
Toss...
Steward Partners-Albany
beneficial
• FINRA Series 7 and 66 (or 63 and 65) preferred
• Highly detail-oriented with superior organizational skills and ability to prioritize tasks
• Follow-up to ensure resolution and completion of tasks
• Provide a high level of customer service...
RK Partners-Albany
can focus on activities that get results. Series 65 (pre and post 2000 exams); Series 7 and Series 66; At the time the application is filed, the applicant is current and in good standing: CFP, ChFC, PFS, CFA, CIC.
Responsibilities
• Prospecting...
talentnest.com -
Citizens-Great Neck
management, insurance, and estate planning.
Qualifications, Education, Certifications and/or Other Professional Credentials
• Series 7, 63, 65 (or 66) active and valid.
• A valid, active Insurance Life/Health/Variable licenses is required or must...
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 -
New York
education training sessions as required by regulatory agencies and the firm
• Additional duties as assigned
Qualifications:
• 2-4 years prior client service experience within financial industry, or equivalent experience, preferred
• Series 7, required...
rockco.com -
New York
and ability to prioritize in a time-sensitive environment
• Clear communication skills and strong collaboration with traders, sales, operations, risk, and compliance
• FINRA licensing (Series 7 and Series 63) required or ability to obtain within a specified...
icims.com -
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