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The Firms regulators, including but not limited to FINRA, SEC, NFA, and CFTC. Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities, Fixed Income, Securities Lending, and Repurchase Agreements.
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Apex Capital Holdings, LLC is an associated member of T3 Trading Group, LLC. T3 Trading Group, LLC is a registered SEC broker-dealer and member of the FINRA SIP. This is a unique chance to leverage your existing financial expertise and gain in-depth, hands-on experience in trading through our Equity Trader Training Program.
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Certifications:Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRACompany Overview Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients.
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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Pershing LLC (member FINRA, NYSE, SIPC) is a BNY Mellon company. Wealth management and institutional firms outsource to Pershing for trading and settlement services, investment solutions, bank and brokerage custody, middle and back-office support, data insights, and business consulting.
$79,000 - $113,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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FINRA Series 7 and Series 63. As a Vice President in Latin America Corporate Credit Research, you will help to conduct and facilitate industry analysis and company-specific coverage. FINRA Series 7 and Series 63.
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Familiar with CFTC, SEC, FINRA and NFA Rules. BGC specializes in the brokerage of a broad range of products, including fixed income (rates and credit), foreign exchange, equities, energy and commodities, shipping, insurance, and futures.
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The Expertise and Skills You Bring 10+ years of working in treasury, cash management and/or banking services FINRA Series 99 required within 90 days of hire Proven understanding of banking operations, money movement, brokerage regulations, and industry standard processes Project management, creative problem solving, and moderate technical expertise to support the running and modernization of treasury applications.
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Must have FINRA Series 7 certification. Must have FINRA Series 55 certification. Blaylock Van, LLC, an established Minority Owned Business Enterprise broker-dealer specializing in banking and underwriting of municipal and corporate entities on a national scope, is seeking an Equity Trader / Specialist.
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FINRA series 63 or 66 is required for this position and must be obtained within 30 days of hire. Candidates with a FINRA series 6 will be considered but must obtain the series 7 within 90 days of hire.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. JPMS, CIA and JPMorgan Chase Bank, N. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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FINRA Series 63 & 7 license. Paulson Investment Company, LLC is seeking a Investment Banking Associate to join its Investment Banking group in New York. Investment Banking Associate will assist senior investment bankers in their investment banking activities, including private and public offerings, M&A transactions, and other advisory services.
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If you do not have the following, you will be required to attain them under the sponsorship of Equitable Advisors: state life and health licenses, FINRA Series 7 and 63/66 registrations. A four-year college degree is preferred but not required and relevant professional FINRA securities registrations are a plus.
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Finra Series 79 is required (or willingness to take the FINRA required exams) This is a full-time on-site Vice President Investment Banking role in San Juan. The Vice President will be responsible for day-to-day tasks including financial modeling, finance, due diligence, and analytical skills.
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Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 licensed; Series 65 or 66 licensed (OR ability to acquire series 65/66 upon hire) and Life Insurance license.
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finra job Company: Chase Bank in New York, NY
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