- Warner Bros. Discovery (New York, NY)
- …impactful stories with cinematic flair and creativity. We produce premium short-form digital video series and franchises - in the field and in studio -- across the ... to delivery; he/she will be able to research, pitch and develop stories and series , shoot and execute video collaboratively in the field on budget, and write/edit… more
- Raymond James Financial, Inc. (New York, NY)
- …Trading Systems, Smart Order Routers, and CSA management. + Regulations and Compliance . + TCA and Data Analytics, network concepts, topologies, and technologies. + ... and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7, Series 55 and Series 63 Licenses. (Preferable but not… more
- NBT Bank (Fairport, NY)
- …rules and regulations. + Strong communication and PC skills. + Unblemished compliance record. + Demonstrated team player and high quality service provider. Unique ... Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not Series 7 licensed, FC will be required to obtain license… more
- Wells Fargo (New York, NY)
- …in excel, PowerPoint, etc. **Job Expectations:** + Up to 50% travel + Registration for FINRA Series 7 must be completed within 90 days of hire date if it is not ... recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 90...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- Wells Fargo (Syracuse, NY)
- …Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate ... is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations,...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
- Wells Fargo (New York, NY)
- …business challenges while developing expertise in relevant policies, procedures, and compliance requirements. + Collaborate with peers and internal partners to share ... across internal teams and external partners **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date… more
- Wells Fargo (New York, NY)
- …integrity, good character and exercise sound judgement **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date ... if it is not available for transfer upon hire. + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not available for transfer… more
- TD Bank (New York, NY)
- …in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, ... compliance , audit, and self-ID findings are remediated and customer...role within wealth management or private banking + FINRA Series 7, 24, and 66 (or equivalent - … more
- Veterans Affairs, Veterans Health Administration (Albany, NY)
- …codes and standards. Supervise and administer construction activities, ensuring compliance with all contractual requirements and healthcare regulations. Ensure ... Perform COR duties for design and construction contracts, ensuring contractor compliance , quality, and proper contract administration. Support the operation and… more
- Wells Fargo (New York, NY)
- …**Job Expectations:** + Ability to travel up to 10% of the time + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it is not ... for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not… more