- SMBC (New York, NY)
- …education and training. + Licenses / Certifications / Registrations - SIE, Series 7 , 79 & 63 + Software Systems / Programming Languages - Microsoft Office, ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (White Plains, NY)
- …a situation and formulate and articulate an approach **Qualifications and Skills** + 7 + years of experience in financial services + 5+ years of proven supervisory ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (New York, NY)
- …firm / brand awareness. **Qualifications and Skills** Recommended years of experience: 7 **Skills You'll Need** + Prior experience in Fund Finance syndication or ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (New York, NY)
- …efficiency and effectiveness of banking operations. **Qualifications and Skills** + 5 to 7 years of specialized experience in Financial Services. + 3 to 5 years ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- Edward Jones (Syracuse, NY)
- …the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los ... to think critically + Passion for new opportunities **Candidate qualifications:** + Series 7 and Series 66 required + Experience in financial services working with… more
- SMBC (New York, NY)
- …timely, as necessary **Qualifications and Skills** Recommended years of experience: 7 * Bachelor's degree, preferably in finance, business administration, or related ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (White Plains, NY)
- …to established guidelines and deadlines. **Qualifications and Skills** Recommended years of experience: 7 BS / BA degree is required Knowledge and skill set in model ... complex data sets. Ability to apply regulatory requirements outlined in CECL, IFRS9, SR11- 7 , capital, CCRA, and DFAST, and other regulations and rules to conducting… more
- BMO Financial Group (New York, NY)
- …growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone ... securities laws, rules and regulations with the ability to assess firm impact. Series 7 , 63, 24 a plus. + Typically minimum of 6 years of relevant experience… more
- TD Bank (New York, NY)
- …and tactics that support compliance/business objectives **Position Requirements** + 7 + years of Compliance experience, including Securities Advisory experience. ... laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC, Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral… more
- Bank of America (New York, NY)
- …fast-paced and collaborative work environment. + MS, MBA and/or CFA are desirable + FINRA registered representative with Series 7 & 63 required at time of ... hire or within 120 days of hire **Skills:** + Analytical Thinking + Customer and Client Focus + Financial Management + Presentation Skills + Risk Management + Business Development + Client Management + Client Solutions Advisory + Market Analysis + Negotiation… more