- City National Bank (New York, NY)
- …using basic software programs like Word, Excel, Power Point, etc. *Skills and Knowledge* * FINRA Series 7 and 66 (or the ability to obtain) * Knowledge of the ... financial services industry and investment management practices * Demonstrated skill set/capabilities in sales, marketing, client experience, business development, analytics, and CRM * Ability to work independently and manage a high volume of leads effectively… more
- Santander US (New York, NY)
- …* Strong verbal and written communication skills, organizational skills and project management skills. FINRA Licenses 7 and 63 required. It Would Be Nice For You To ... Have: Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education. **What Else You Need To Know** **:** The base pay range for this position is posted below and represents the… more
- PNC (Madison, 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
- BMO Financial Group (New York, NY)
- …growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone ... to work closely with the Fixed Income, Currencies, and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed… 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
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC, Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral ... and written communication skills. + Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment. + Ability to project confidence and professionalism in dealings with senior business… 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
- JPMorgan Chase (New York, NY)
- …banking products + Possess or obtain within three months of hire the FINRA Series 79, Series 63 and Securities Industry Essentials (SIE) licenses Preferred ... Qualifications, Capabilities, and Skills: + Previous experience working in corporate banking, investment banking, or similar roles JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small… 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