- TD Bank (New York, NY)
- …of US product/investment industry knowledge + Series 7, 24, 66 (or equivalent) FINRA Registrations + Experience with the wealth industry and markets across segments, ... and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to...and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- TD Bank (New York, NY)
- …products experience required + Series 7, 24, 66 (or equivalent) FINRA Registrations + Comprehensive knowledge of financial management, retirement solutions and ... paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to...and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- TD Bank (New York, NY)
- …and Firm policies related to all business activities (eg OCC, SEC, FINRA etc.). Ensures all Continuing Education requirements + are attained + Responsible ... regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to...or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- Wells Fargo (New York, NY)
- …**Job Expectations:** + Ability to travel up to 10% of the time + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it ... is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days of… more
- Wells Fargo (New York, NY)
- …financial markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire ... if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for... recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days… more
- Wells Fargo (New York, NY)
- …relationships across internal teams and external partners **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire ... if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for... recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days… more
- TD Bank (New York, NY)
- …Wealth and broader AMCB businesses + Remains knowledgeable of all OCC, FRB, SEC, FINRA and state regulatory requirements as they pertain to US Wealth activities and ... + Series 7, Series 63 + 65 or 66 and Series 24 Supervising Principle FINRA Registrations; Health and Life Insurance Licensure + Knowledge of Bank regulatory risk and… more
- Equitable (New York, NY)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... 120-day timeline for successful completion of company sponsored required FINRA licenses and registrations. + **Stable Pay** : After...they are ready to apply. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
- Robert Half Finance & Accounting (New York, NY)
- …at a Broker Dealer or an RIA, with knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing ... and AML/KYC. Series 7 FINRA license is advantageous This role is hybrid remote...a Broker Dealer or an RIA + Knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance… more
- Equitable (Melville, NY)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... on a 120-day timeline for successful completion of company sponsored required FINRA licenses and registrations. + **Base Salary** : After successfully completing… more