- Equitable (Melville, NY)
- …skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a track record of success ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
- Equitable (Melville, NY)
- …skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a track record of success ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
- Citigroup (New York, NY)
- …solver and a goal-oriented team player able to work without direction + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or ... equivalent. + Must meet ALL US FINRA Registration requirements within 150 days of starting in...Must obtain within 120 days of meeting all US FINRA Registration requirements if not already held. + This… more
- MUFG (New York, NY)
- …CFSA, are highly desirable. + Advanced degree preferred. **Skills and Experience:** + 7 + years and/or equivalent of experience in internal audit and/or equivalent of ... applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with...working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,… more
- Citigroup (Hewlett, NY)
- …solver and a goal-oriented team player able to work without direction + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or ... equivalent. + Must meet ALL US FINRA Registration requirements within 150 days of starting in...Must obtain within 120 days of meeting all US FINRA Registration requirements if not already held. + This… more
- Wells Fargo (New York, NY)
- …desk with questions about deployed models. **Required Qualifications:** + 7 + years of Securities Quantitative Analytics experience, or equivalent demonstrated ... the following: work experience, training, military experience, education **Desired Qualifications:** + 7 + years of hands-on coding experience, C++ and Java are most… more
- TD Bank (Melville, NY)
- …and Firm policies related to all business activities (eg, OCC, SEC, FINRA etc.); ensures all Continuing Education requirements are attained + Responsible for ... 3+ years of experience working with TD's client platforms required + Series 7 , 63/65 or 66 registrations required. Candidates may be considered should they have… more
- Edward Jones (Mount Vernon, NY)
- …**Licensing:** + SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not currently registered, registrations ... Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses...ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training… more
- Guardian Life (Albany, NY)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with...+ Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days.… more
- JPMorgan Chase (Pittsford, NY)
- …industry, demonstrating a strong understanding of industry practices. + Valid and active Series 7 , 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ... demonstrating expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and regulations, ensuring adherence to industry… more