- Wells Fargo (New York, NY)
- …or other long-term incentive awards + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Guardian Life (Albany, NY)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of state… more
- US Bank (New York, NY)
- …(ie, financial accounting, commercial lending, industry awareness, loan structuring, etc.) preferred + FINRA Licenses 63, 79 (pre or post hire) **The role offers a ... 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… more
- Wells Fargo (New York, NY)
- …30 Hudson Yards, New York City NY _This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Wells Fargo (New York, NY)
- …interdependent team. **Job Expectations:** + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Microsoft Corporation (New York, NY)
- …experience. + Experience with Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations + Experience with Financial ... and Consumer Banking + Experience with Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations + Knowledge of Generative AI… more
- JPMorgan Chase (Pittsford, NY)
- …Valid and active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life, Health, and ... demonstrating expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and regulations, ensuring adherence to industry… more
- Principal Financial Group (New York, NY)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). + ... Resident Life and Health appointment must be attained. **Salary Range Information** Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales… more
- TD Bank (Melville, NY)
- …and Firm policies related to all business activities (eg, OCC, SEC, FINRA etc.); ensures all Continuing Education requirements are attained + Responsible for ... communication skills + Criminal and financial background investigation is required pursuant to FINRA Rule 3010(e) and successor regulations **Who We Are:** TD is one… more
- US Bank (New York, NY)
- …written communication skills + Junior banker (analyst/associate) coaching and staffer experience + FINRA Licenses 63, 79 (pre or post hire) **The role offers a ... 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… more