- BankOnBuffalo (Buffalo, NY)
- …education funding, and financial planning. CFP or similar professional designation preferred. FINRA Series 7 and 63 licenses plus Series 65 or ... business issues. + Adhere to the complexity of FINRA guidelines and bank compliance . + Establish additional processes and procedures that align with corporate goals… more
- City National Bank (New York, NY)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * The SFA ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Citigroup (New York, NY)
- …+ 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 ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other... operating procedures + Ensure that KYC/AML and other compliance norms are strictly adhered to + Partner with… more
- Citigroup (New York, NY)
- …+ Applicable licenses: Will be required to either already have or apply upon arrival for Series 7 and 63. + 6-10 years of experience in a comparable quantitative ... team, Product, Technology teams, Risk & Control team, Legal, Compliance & Audit in order to ensure appropriate governance...is a plus. + Experience with Q/KDB or time series databases is desirable. + Good communication skills, both… more
- Citigroup (New York, NY)
- …+ 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 ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures. + Ensure that KYC/AML and other... operating procedures. + Ensure that KYC/AML and other compliance norms are strictly adhered. + Partner with all… more
- BlackRock (New York, NY)
- …advertising review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; Series 63 and 24 preferred ... The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory... groups and FINRA staff to help ensure regulatory compliance of marketing and sales collateral, digital content, and… more
- Citigroup (Hewlett, NY)
- …+ 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 ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other... operating procedures + Ensure that KYC/AML and other compliance norms are strictly adhered to + Partner with… more
- Citigroup (New York, NY)
- …experience in Capital financial industry; compliance /supervisory/business risk experience preferred + FINRA Series 7 , 66 (63/65), 24 and 31. Series 9/10 ... and escalate to Senior Management and partners including, but not limited to, Compliance , Legal, AML, Regional Business Risk, Regional COO and Sales Management +… more
- Citigroup (New York, NY)
- …to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7 , Series 66 required (or obtained within 120 days) ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (New York, NY)
- …to manage relationships both internal and external + Ability to multi-task + FINRA SIE, Series 7 , Series 66 required (or obtained within 120 days) ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more