- Truist (New York, NY)
- …review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit ... stakeholders to support The Business Unit Risk Advisor Specialist II- FINRA is a role within the Investment Banking and Capital Markets (IBCM) Business Unit Risk… more
- Truist (New York, NY)
- …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor rules and ... regulations, order management systems, transaction execution workflows from input through settlement. + Strong knowledge of trade reporting and pre and post trade controls with ability to point out gaps in the control environment and create new actionable… more
- Wells Fargo (New York, NY)
- …and oral communication skills **Job Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of hire date if it is not ... available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180 days of… more
- TD Bank (New York, NY)
- …Keeps abreast of emerging issues and trends from key regulatory bodies including FINRA , SEC, OCC + Partners with Senior Executives across Consumer Distribution & ... management role within wealth management or private banking + FINRA Series 7, 24, and 66 (or equivalent -...understanding of current compliance and regulatory issues (OCC, SEC, FINRA , and State Securities Regulators) + In-depth knowledge of… more
- TD Bank (New York, NY)
- …a critical executive role responsible for management of Administration, FINRA required FINOP responsibilities, Marketing Principal duties, Strategy, middle-office ... with respect to Office of Supervisory Jurisdiction (OSJ) Administration, FINRA Branch Administration, Licensing/Registrations and maintenance requirements. This role… more
- Wells Fargo (New York, NY)
- …and oral communication skills **Job Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of hire date if it is not ... available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180 days of… more
- Wells Fargo (New York, NY)
- …and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (New York, NY)
- …of credit risk management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or FINRA recognized equivalents) ... number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. + For specific FINRA qualification… more
- Wells Fargo (New York, NY)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (New York, NY)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more