- SMBC (New York, NY)
- …Description** SMBC is seeking an experienced Liquidity Audit Manager with a minimum of 7 years' experience in the banking & finance industry to work within the ... heads, external auditors, and regulators. **Qualifications and Skills** * Minimum of 7 years internal audit experience in the banking and finance industry. *… more
- Truist (New York, NY)
- …to perform the essential functions. 1. BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 for those licensed prior to October 2019), ... Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II. 3. Minimum of 5 years of related work experience or academic… more
- Citizens (Rochester, NY)
- …materials, coaching, and dedicated time and support to successfully pass your Series 7 and 66 exams. The Investment Assistant II works closely with the assigned ... and preparation, and audit preparation while adhering to all FINRA , CCOIS, CFG and state securities regulations on a...licenses required + Must be able to obtain Series 7 and 66 within specific timeframe required + Understanding… more
- Citigroup (New York, NY)
- …+ BA/BS with emphasis in real estate, business or economics preferred + 7 + years experience in banking, consulting, finance or accounting preferred + Excellent oral ... presentations + The candidate will be required to pass all necessary FINRA exams and licensing requirements This job description provides a high-level review… more
- JPMorgan Chase (Little Neck, NY)
- …2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required) ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week + Adheres to policies, procedures, and regulatory banking requirements… more
- MUFG (New York, NY)
- …reporting. + Manage multiple stakeholder relationships. **Qualifications:** + Typically requires 7 + years of demonstrated knowledge and direct work experience in ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- City National Bank (New York, NY)
- …SUCCEED?* Required Qualifications* * Bachelor's Degree or equivalent * Minimum 7 years' experience in financial services industry with demonstrated hands-on ... workflows including pre-trade and post-trade compliance rules subject to SEC, FINRA , ERISA, and banking regulatory frameworks. *Additional Qualifications* * Thorough… more
- JPMorgan Chase (Stony Point, NY)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required), ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week. **Job responsibilities** + Delivers an exceptional customer experience by… more
- HSBC (New York, NY)
- …range of products + Ability to manage a portfolio of clients on a global basis + FINRA Series 79, 63 and 7 licenses (or to be obtained) In compliance with ... applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must be legally authorized to work in the US as HSBC will not engage in immigration sponsorship for this position. As an HSBC employee, you will have… more
- JPMorgan Chase (West Harrison, NY)
- …team culture **Required qualifications, capabilities, and skills** + A valid and active Series 7 license is required or may be obtained within a 60 day condition of ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more