- Citigroup (New York, NY)
- …understanding of key product structures (mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 ... (or 65/63). + In-depth knowledge of wealth management services, with a focus on estate planning, tax strategies, and business succession for HNW and UHNW clients. + Strong analytical and portfolio management skills, including risk management and compliance… more
- SMBC (White Plains, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- US Bank (New York, NY)
- …in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and 63/65 combination and applicable state ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- MUFG (New York, NY)
- …of the Comptroller of the Currency (OCC), Financial Industry Regulatory Authority ( FINRA ), Federal Reserve, and the Sound Practices to Operational Resilience + ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Raymond James Financial, Inc. (New York, NY)
- …regulatory risks associated with Capital Markets activities, ensuring adherence to SEC, FINRA , FRB Bank Holding Company, and state securities regulations. + Engage ... of:** + Securities industry compliance practices, concepts, and procedures. + SEC, FINRA , FRB Bank Holding Company, and state regulatory frameworks. + Financial… more
- Zoom (Albany, NY)
- …only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC, GDPR, data retention, archiving). You will maintain compliance across ... Zoom Workplace and Business Services offerings. About the team The Zoom Industry verticals product team is on a mission to provide AI first solutions tailored to industry and departmental use cases that drive business outcomes for our customers. We work side… more
- MUFG (New York, NY)
- …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
- PNC (New York, NY)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
- SMBC (New York, NY)
- …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more