- Citigroup (New York, NY)
- …under tight deadlines + Excellent verbal and written communication skills + FINRA Series 7 and 66 preferred **Education:** + Bachelor's/University degree or ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Scotiabank (New York, NY)
- …and system upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 6+ years of experience in structured ... and support our clients + Coordinate with internal teams including legal, tax, compliance , internal controls + Liaise with outside counsel for ongoing business and… more
- Citigroup (New York, NY)
- …control issues with transparency. **Qualifications:** + 1-3 years of relevant experience + Series 7 , 79 and 63 licenses + Consistently demonstrates clear and ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Bank of America (Buffalo, NY)
- …development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations ... inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize… more
- JPMorgan Chase (New York, NY)
- …and strong decision-making capabilities. Preferred qualifications, capabilities, and skills: + Series 7 and 63 licenses required; additional certifications are ... clients, serving as a senior advisor and trusted partner. + Ensure compliance with all regulatory requirements and internal policies, setting the standard for… more
- Guardian Life (New York, NY)
- …+ 3 or more years of extensive industry experience + Securities license preferred ( Series 7 or 6) + Knowledge of retail client onboarding/new account process, ... clients' requests. + Collaborate with various internal departments including Compliance , licensing, operations, internal clearing firm, and 3rd Party… more
- JPMorgan Chase (New York, NY)
- …managing a team. + Ability to work in a fast-paced, high-pressure environment. + Series 7 and 63 licenses required; JPMorganChase, one of the oldest financial ... relationships with institutional clients, acting as a trusted advisor. + Ensure compliance with all regulatory requirements and internal policies. + Utilize advanced… more
- Ithaca College (Ithaca, NY)
- …accredited program. The Program Director is responsible for leading a team of 7 faculty and related support staff. Ithaca seeks candidates who are energized by ... + Guiding faculty in curricular revisions and assessment to ensure ongoing compliance with ARC-PA standards and Ithaca College policies and procedures. + Guiding… more