- Truist (New York, NY)
- …products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7 , and 66 licenses (Series 63 & 65 can ... review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit… more
- Truist (New York, NY)
- …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of trading floor ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
- TD Bank (New York, NY)
- …senior management attention.** + **Experience conducting annual compliance assessments under 206-4( 7 ) and FINRA 3130.** + **Demonstrated business writing ... on advertising and marketing materials for a broker-dealer/bank.** + ** FINRA Series 7 , 63 and 24 preferred.**...materials for a broker-dealer/bank.** + ** FINRA Series 7 , 63 and 24 preferred.** **Customer Accountabilities:** + Proactively… more
- Scotiabank (New York, NY)
- …on financial data; and leveraging theoretical probability knowledge to analyze research papers. FINRA SIE required. FINRA Series 7 required. FINRA ... Series 63 required. Offered salary is between $225,000 and $225,000 per year. 40 hours per week. QUALIFIED APPLICANTS: Please apply directly through our website https://www.scotiabank.com/careers by searching for Associate Director, Exotic Equity Derivatives… more
- TD Bank (New York, NY)
- …customer complaints **Education & Experience:** + Bachelor's Degree preferred, 5+ industry experience + FINRA Series 7 , 24 and 66 (or equivalent) required + 3+ ... strategic objectives for the Market(s). **Depth & Scope:** + FINRA designated Supervisor (via Delegation from WML) for Registered/Associated...time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Coinbase (Albany, NY)
- …adopt additional features, services, and products. What we look for in you (ie. job requirements): * FINRA License series 7 and 63 * FINRA License 24 OR 9 ... Wealth Management, Corporate Finance, Asset Management, FinTech or Crypto. Nice to haves: * FINRA License Series 3, 4, 65, or 66. * High level of proficiency in… more
- JPMorgan Chase (New York, NY)
- …required + Licenses required to perform all job duties associated with the role: FINRA Series 7 , 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health ... Insurance license + Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53),… more
- Deloitte (New York, NY)
- …working in regulatory and/or compliance driven environment. Securities Industry Essentials (SIE) and FINRA Series 7 license required or must obtain within 60 ... Assist with maintaining Firm and individual registration requirements with FINRA + Assist with the onboarding and offboarding of...the review of employee trading activity in accordance with FINRA Rule 3210 + Coordinate review and diligence of… more
- Neuberger Berman (New York, NY)
- …in compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4)- 7 and FINRA 3130 program + Update, maintain, and draft firm policies ... and procedures + Review and approve employee requests (eg gifts/entertainment, political contributions, outside business activities and private investments) in the internal compliance system + Partner with Technology to enhance internal review and surveillance… more
- City National Bank (New York, NY)
- …relationship management experience in financial services preferably with high net worth clients. * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* ... May possess CFP, JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63, and 65 or 66 securities licenses and state insurance… more