- Foresters Financial Services (Westbury, NY)
- …administrative assistance while enhancing the service experience of clients*. *This role requires FINRA licensing within 12 months of hire to allow the incumbent to ... of support is dictated by whether the incumbent is FINRA licensed. + As directed by the representative, based...money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to… more
- Wells Fargo (New York, NY)
- …with integrity, good character and exercise sound judgement **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire ... not available for transfer upon hire. + Registration for FINRA Series 79 must be completed within 90 days...hire. + This position may require you to meet FINRA registration requirements, which states that Associated Persons (AP)… more
- KeyBank (Mahopac, NY)
- …in financial services or related field (preferred) **Licenses and Certifications** + FINRA Security Industry Essentials (SIE) Upon Hire (required) + FINRA ... License S7 Upon Hire (required) + FINRA License S66 or S63 and S65 Upon Hire (required) + Certified Financial Planner (CFP) (preferred) + Resident State Insurance Licenses (Life, Variable, and Accident/Health or Life & Disability) Upon Hire (required) + In… more
- KeyBank (Brewster, NY)
- …experience (required) or + Bachelor's Degree (preferred) **Licenses and Certifications** + FINRA Security Industry Essentials (SIE) Upon Hire (required) + FINRA ... License S7 Upon Hire (required) + FINRA License S66 or S63 and 65 Upon Hire (required) + Certified Financial Planner (CFP) (preferred) + Resident State Insurance Licenses (Life, Variable, and Accident/Health or Life & Disability) (required) + In the event… more
- KeyBank (Dewitt, NY)
- …on digital platforms and capabilities within Key (required) **Licenses and Certifications** + FINRA License S6 Upon Hire (required) + FINRA License S63 Upon ... Hire (required) + FINRA Security Industry Essentials (SIE) Upon Hire (required) + Life and Health Insurance Licenses Upon Hire (required) **Tactical Skills** + Is knowledgeable about the client's accounts and business with the bank and uses sound judgment… more
- JPMorgan Chase (New York, NY)
- …Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA , OCC, CFTC and other regulators + Coordinate with other control groups, ... experience in financial services compliance + Knowledge of SEC, FINRA , OCC and CFTC rules relating to fixed income...and skills** + TRACE reporting + Swaps reporting + FINRA , SEC, OCC, CFTC regulations + US Treasury Auction… more
- CIBC (New York, NY)
- …Derivatives, Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA , SEC and NYSE rules and regulations + Knowledge of federally ... experience + Prior experience working at a securities regulator ( FINRA , SEC, NYSE) highly preferred + Former role as...a plus + Professional licenses and certifications desired (SIE, FINRA Series 7, CCOS or IACCP a plus) +… more
- Wells Fargo (New York, NY)
- …of leadership or involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must ... Yearly Washington, DC: $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Citigroup (Huntington, NY)
- …and a goal-oriented team player able to work without direction + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. ... + Must meet ALL US FINRA Registration requirements within 150 days of starting in...Must obtain within 120 days of meeting all US FINRA Registration requirements if not already held. + This… more
- City National Bank (New York, NY)
- …Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Code of Conduct, FINRA , etc.). WHAT DO YOU NEED TO SUCCEED? *Required Qualifications** * Minimum 5 ... * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66...JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state… more