- Atria Wealth Solutions (Corning, NY)
- …Pennsylvania, as well as their immediate family members. This role requires a FINRA series 7 licensed candidate who possesses the drive and passion to deliver ... **Representatives are employed by and registered through CFS (Member FINRA / SIPC (http://www.sipc.org/) ). To learn more about...CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a broker-dealer and RIA with a stable,… more
- Marex (New York, NY)
- …breaks. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the operational ... supporting both Fixed Income trading of corporate bonds and US treasuries. + FINRA Series 99 or willingness to acquire preferred. + Working knowledge of one… more
- T. Rowe Price (New York, NY)
- …education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 AND 63/65, OR Series 7 AND 66 Preferred: + Experience in ... sophisticated communication skills + CAIS, CIMA, CFP or CFA designation(s) FINRA Requirements FINRA licenses are required and will be supported for this role.… more
- BlackRock (New York, NY)
- …The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory compliance of marketing and sales collateral, ... income. + Develop and apply a robust knowledge of FINRA advertising rules, '40 Act and '33 Act communications...1+ years advertising review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration… more
- MUFG (New York, NY)
- …- Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with financial industry regulators, ... including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- Citigroup (Hewlett, 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
- KeyBank (Pearl River, NY)
- …School Diploma (required) + 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 S65 Upon Hire (required) + Certified Financial Planner (CFP) (preferred) + Resident State Insurance Licenses (Life, Variable, and Accident/Health or Life & Disability) Upon Hire (required)… more
- KeyBank (Albany, NY)
- …KIS registered representatives. **Essential Job Functions:** *Act as formally designated FINRA general principal in all regulatory capacities for activities of KIS ... experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm. * FINRA Series 7, 63 & 65 (or 66), 24, and 53 licenses… more
- JPMorgan Chase (Brooklyn, NY)
- …performing Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7, 66 (or equivalent) is required + A valid and active FINRA Series ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- KeyBank (Cheektowaga, NY)
- …School Diploma (required) or + Bachelor's Degree (preferred) **Licenses and Certifications** + FINRA License S7 Upon Hire (required) + FINRA License S66 Upon ... Hire (required) or + FINRA License S63 66 & 65 Upon Hire (required) **Tactical Skills** + Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space. + Demonstrated ability to sell products and… more