- Edward Jones (New York, NY)
- …be obtained at Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses will be required. + ... are required to complete ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training to ensure licenses remain… more
- Raymond James Financial, Inc. (New York, NY)
- …**Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC, and other relevant regulatory guidance + Experienced in the ... + Strong understanding of risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC, FINRA ) and ability to apply data analytics to risk reporting and risk… more
- Wells Fargo (New York, NY)
- …Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... 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
- Wells Fargo (New York, NY)
- …required to report certain incidents. + 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
- Charles Schwab (Mount Kisco, NY)
- …role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series 66 ... (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- Citigroup (New York, NY)
- …and escalating, managing and reporting control issues with transparency. **Qualifications:** + ** FINRA Series 7 and 63 licenses are required.** + 10-15 years of ... Bloomberg, booking systems, trading protocol, closing technicalities + Relevant FINRA registrations/licenses **Education:** + Bachelor's degree / University degree… more
- Citigroup (Getzville, NY)
- …regulatory filing preparation and submission of daily, weekly, and bi-weekly reports to OFR, FINRA , and FRB of NY. This role will also take part in routine ... to OFR, Short Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA , and FR 2004 to the Federal Reserve. + Maintain and develop regulatory… more
- Wells Fargo (New York, NY)
- …Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... 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
- TEKsystems (New York, NY)
- …key compliance risks, evaluate control effectiveness, and ensure alignment with FINRA , SEC, and Federal Reserve regulatory expectations. - Apply Federal Reserve ... financial services. - Regs Focused on: Securities Exchange Act of 1934, FINRA Rule 3110, Rule 15c3-1 (Net Capital Rule): Requires broker-dealers to maintain… more
- Citigroup (New York, 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 the role. + Insurance Group 1 required. + Must meet ALL Insurance Group 1… more