- 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 ... is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
- BMO Financial Group (New York, NY)
- …all regulations, directives and guidance which apply to the group(s) supported. **Qualifications:** + ** Series 7 , SIE, and 24 required.** ** Series 57, 63, ... The BMO Capital Markets Compliance team is hiring for a CCO of...manage the implementation, maintenance and administration of the broker-dealer compliance programs. Broker-dealer businesses include. but are not limited… more
- Nuveen Investments (New York, NY)
- …5+ Years Required; 7 + Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63 **Physical Requirements** + Physical Requirements: ... such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading, and other internal partners… more
- Bank of America (New York, NY)
- …+ 5+ years of demonstrated experience with sales and building, leading, managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 ... require heightened support to achieve success + Help reinforce compliance , supervision, and provide risk management support of ADP...or (4, 24, 53 combination).If Series 9 & 10 not currently held, must be… 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 ... 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
- TD Bank (New York, NY)
- …proven track record in a high-level management role within wealth management or private banking + FINRA Series 7 , 24, and 66 (or equivalent - Series 9, 10) + ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … 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
- Veterans Affairs, Veterans Health Administration (Wellsville, NY)
- …medications and their effects/side effects, and medical terminology. Work Schedule: M-F 7 :30am - 4:00pm EDRP Authorized: Former EDRP participants ineligible to apply ... be required to complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued dentification cards that… more
- HSBC (New York, NY)
- …analysis + Attention to detail and the ability to think creatively to solve problems + Series 7 and 63 licenses, may allow for contingency to obtain Series ... you improve your health and well-being, finances, and lifestyle. **Qualifications** In compliance with applicable laws, HSBC is committed to employing only those who… more
- HSBC (New York, NY)
- …analysis + Attention to detail and the ability to think creatively to solve problems + Series 7 and 66 licenses, may allow for contingency to obtain Series ... 7 and 66 + Bachelor's Degree required In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US… more