- 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
- Santander US (New York, NY)
- …Ability to thrive in a demanding, fast-paced environment with multiple priorities. **Certifications** FINRA Licenses 79, 7, and 63 preferred **What Else You Need To ... Know** **:** The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience,… more
- JPMorgan Chase (New York, NY)
- …well under pressure + Strong knowledge of Bloomberg, Microsoft Excel, Word and PowerPoint + FINRA Series 7 and 63 licenses are required for the role, but can be ... obtained after joining the team **Preferred qualifications, capabilities, and skills:** Fundamental understanding of Python or VBA is preferred JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of… more
- TD Bank (New York, NY)
- …specialized training / equivalent work experience + 3+ Years of related experience + FINRA Series 7 & 63 + Ability to work independently with minimal supervision, ... establishes priorities, and possesses strong communication, analytical and problem solving skills + Management experience and solid computer skills a must **Physical Requirements:** Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% + Domestic… 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
- 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
- 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
- Raymond James Financial, Inc. (New York, NY)
- …Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); state securities regulatory agencies; Federal Deposit Insurance Corporation ... (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies. + Investment concepts, practices and procedures… more
- US Bank (New York, NY)
- …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 ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more
- Guardian Life (New York, NY)
- …and efficiencies. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of state ... insurance laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an insurance-affiliated broker/dealer is a plus. + Series 7; 24 licenses required or obtained within 120 days. + A… more