- 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
- Wells Fargo (New York, NY)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 1+ years of leadership experience +… more
- TD Bank (New York, NY)
- …proven track record in a high-level management role within wealth management or private banking + FINRA Series 7 , 24, and 66 (or equivalent - Series 9, 10) + ... Keeps abreast of emerging issues and trends from key regulatory bodies including FINRA , SEC, OCC + Partners with Senior Executives across Consumer Distribution &… more
- Wells Fargo (Syracuse, NY)
- …Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to ... ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must be completed… more
- TD Bank (New York, NY)
- …an asset + 7 + years of US product/investment industry knowledge + Series 7 , 24, 66 (or equivalent) FINRA Registrations + Experience with the wealth industry ... and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to...and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- TD Bank (New York, NY)
- …processes enhancements, investment platform, and wealth products experience required + Series 7 , 24, 66 (or equivalent) FINRA Registrations + Comprehensive ... paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to...and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- Wells Fargo (New York, NY)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Wells Fargo (New York, NY)
- …issues + Experience handling highly sensitive and confidential information utilizing sound judgement + FINRA Series 7 , 24 & 63 licenses are preferred but not a ... and serve as an expert advisor to leadership **Required Qualifications:** + 7 + years of risk management, business controls, quality assurance, business operations,… more