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Full trm of exprnce must inclde each of the fllwng: Use of Excel for financl anlysis & finc functns, & Pwr BI; Invstmnt bnkng rsrch tools, incldng FactSet, CapIQ, & Eikon; Financl anlysis, incldng Price/ Volme/ cost anlyses, prdct cohort anlyses; &, Data anlysis, incldng manipulatng & anlyzng lrge datasets via Excel &/or Pwr Bi. FINRA Series 79 & 63 licnses rqrd.
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Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
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Offer guidance on broker-dealer, FINRA, investment adviser, and fund formation matters, if applicable. Broker-dealer, FINRA, investment adviser, or fund formation experience is a plus. Firm Type: Law Firm, Experience: 6 Years, A law firm in Boston, MA, is seeking a Senior Corporate Securities Associate Attorney or Counsel with extensive experience in securities law and corporate governance.
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The Senior Underwriter position within Baker Tilly Capital, LLC’s Development Community Advisory - Capital Formation (“DCA”) team offers a great opportunity to be part of a growing team within our FINRA Broker-Dealer and be a valued business advisor delivering industry-focused financial services to energy and infrastructure clients.
$187,790 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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FINRA Series 7 and Series 66 (or combination of 63 & 65) registrations must be obtained within the first 120 days. SRC Indicator: Series 7; Series 63; Series 65; Series 66. For Applicants of Nuveen residing in Europe and APAC, please click here.
$105,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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FINRA Licenses: Securities Industry Essentials (SIE), Series 7, Series 63/65/66. Progress towards professional designations or graduate education a plus (CFA, CIMA, MBA, MSF or similar) FINRA Licenses: Securities Industry Essentials (SIE), Series 7, Series 63/65/66.
$155,385 a yearFull-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance licenses. CFP preferred or CTFA, CFA, CPA, JD or MBA.
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Relevant experience with regulatory agency (Financial Industry Regulatory Authority (FINRA), Securities Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (FRB.
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FINRA Series 6 and Series 63 licenses required. The Internal Wholesaler ( Regional Sales Specialist [RSS] - DCIO ) will provide strategic sales and territory management support, focusing on defined contribution/retirement specialist advisors and consultants.
Full-timeExpandApply NowActive JobUpdated 16 days ago - UpvoteDownvoteShare Job
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Experience working with regulatory agencies (e.g., SEC, FINRA, FCA) and/or a corporate audit environment a plus. Proficiency in monitoring trading and coding in BlackRock’s Aladdin preferred, or other Portfolio Compliance systems (Charles River, Bloomberg AIM, Sentinel etc.
Full-timeExpandApply NowActive JobUpdated 22 days ago - UpvoteDownvoteShare Job
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A working knowledge of many of the following is highly desirable: Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank swap requirements and Private Placement requirements.
Full-timeExpandApply NowActive JobUpdated 24 days ago - UpvoteDownvoteShare Job
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The path to becoming a Financial Planner begins with the Pre-Contract CDP Affiliate phase, during which you will study towards obtaining the required FINRA and resident state licenses, with the cost of fees and exam study materials from approved vendors covered by the Company.
$75,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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FINRA Series 7 and 63 securities licenses will be required for the role so it is preferred if the candidate already is licensed. Platform Sales - Securities Services combines Custody, Fund Services, Middle Office, Data & Analytics, Collateral Management, Liquidity and Agency Lending under one umbrella.
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T3 Trading Group, LLC is a Registered SEC Broker-Dealer and a Member of FINRA and SIPC. Since 2007, we have supported thousands of professional licensed traders across the United States. Additionally, all traders must complete FINRA registration paperwork and applicable background checks.
Full-timeExpandApply NowActive JobUpdated 22 days ago - UpvoteDownvoteShare Job
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You have an active FINRA Series 7 licenses and a Series 63 and 65 or 66. You have an active FINRA Series 7 licenses and a Series 63 and 65 or 66. If you want the flexibility to create your own schedule and build your career on your terms, join our team.
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finra job in East Boston, MA
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