- 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 the role. + Insurance Group 1 required. + Must meet ALL Insurance Group… more
- TD Bank (New York, NY)
- …+ Ensure the surveillance department aligns with global regulatory requirements (eg, SEC, FINRA , CFTC, NFA, FCA, MAS, etc.) and industry standards for GSIBs (best ... **Education & Experience:** + Bachelors degree or progressive work experience + 5- 7 Years of related experience **Preferred Qualifications:** + Advanced degree (JD,… more
- HUB International (New York, NY)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a ... Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in enhancing and… more
- Thrivent Financial (New York, NY)
- …your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor onboarding program. ... or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. +… more
- Raymond James Financial, Inc. (New York, NY)
- …and Responsibilities** + Execution of the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country + ... branch exams + Rules and regulations of the SEC, FINRA , and state securities regulatory agencies + Fundamental investment...an established timeframe. o Required to have a Series 7 , 24 or willing to obtain within 120 days… more
- TD Bank (New York, NY)
- …Experience:** + Undergraduate degree in Business (Accounting or Finance) or Mathematics/Economics + Series 7 and 63 + 5- 7 Years of related experience + Sound to ... Electronic and Algo Trading rules and regulations, more specifically FINRA and SEC (eg, SEC Reg NMS, SEC Reg...SEC Reg NMS, SEC Reg SHO, SEC Rule 15c3-5, FINRA 5310 - Best Execution Rule, SRO Rules), industry… more
- SMBC (New York, NY)
- …securities broker-dealer and member of the Financial Industry Regulatory Authority ( FINRA ) and the Municipal Securities Rulemaking Board (MSRB). These entities ... Institutions (NBFI), insurance, asset managers and financial institutions + 5 - 7 years of credit experience including management / development of junior staff… more
- Truist (New York, NY)
- …and valuation analyses. 5. Formulates investment ideas. 6. Writes draft research commentary. 7 . Depending on experience and the needs of the individual analyst, may ... BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 for...Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II.… more
- Truist (New York, NY)
- …including non-deal roadshows, conferences, field trips, bus tours, and conference calls. 7 . Plays a key role in developing strategy and objectives for designated ... BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 for...Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II.… more
- Capital One (New York, NY)
- …working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA ) and Swap Dealer (CFTC / NFA) activities. + Thought leader in the ... to support data-informed decision making. + Designations including Series 7 / 63 License or Chartered Financial Analyst (CFA)...of experience working in Product Management + At least 7 years of experience in securities origination or trading… more