- Citigroup (New York, NY)
- …structured products, and over-the-counter derivatives + Demonstrated basic familiarity with FINRA , SEC, OCC, and CFTC regulations. Preferred Skills: + Ability to ... manage and prioritize tasks effectively + FINRA Series 7 and related licenses preferred + Strong proficiency in Microsoft Office suite (Excel, PowerPoint, Word) +… more
- TD Bank (New York, NY)
- …+ Ensure the surveillance department aligns with global regulatory requirements (eg, SEC, FINRA , CFTC, NFA, FCA, MAS, etc.) and industry standards for GSIBs (best ... exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, FINRA , CFTC, NFA, or Exchange Market Surveillance department) is highly desired. +… more
- KeyBank (New York, NY)
- …+ Bachelor's degree in Finance, Accounting, or Economics. + CFA, CPA, or FINRA Series licenses is a plus. **Experience Qualifications:** + Candidate should possess ... market. **Licenses and Certifications** + Candidates will be required to complete the FINRA Series SIE, 7, 63, 86, 87 licenses. **Tactical Skills** + Strong… more
- HUB International (New York, NY)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a ... Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in enhancing and… more
- TD Bank (New York, NY)
- …priorities to meet deadlines** + **Experience presenting to management and regulators** + ** FINRA series 7 and 24** + **Life and Health Insurance License** + ... and Exchange Commission (SEC) and Financial Industry Regulatory Authority** **( FINRA )** **Customer Accountabilities:** + Assists in the development and… more
- Wells Fargo (New York, NY)
- …of the required locations listed + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CRF 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)
- …execution processes. **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
- BankOnBuffalo (Buffalo, NY)
- …Development apprised of any business issues. + Adhere to the complexity of FINRA guidelines and bank compliance. + Establish additional processes and procedures that ... education funding, and financial planning. CFP or similar professional designation preferred. FINRA Series 7 and 63 licenses plus Series 65 or 66, plus… more
- Wells Fargo (New York, NY)
- …(New York City): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... 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
- Thrivent Financial (New York, NY)
- …or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. + ... are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA 's Broker Check for more information about our financial advisors. Thrivent… more