- US Bank (New York, NY)
- …Experience navigating relationships with regulatory authorities, especially the SEC and FINRA + Experience with broker-dealer corporate governance + Familiarity and ... 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
- MUFG (New York, NY)
- …of compliance with a focus on advisory and policy development. + Familiarity of FINRA , SEC, NFA and CFTC rules and regulations. + Strong verbal, written and ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- SMBC (New York, NY)
- …securities broker-dealer and member of the Financial Industry Regulatory Authority ( FINRA ) and the Municipal Securities Rulemaking Board (MSRB). These entities ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- T. Rowe Price (New York, NY)
- …candidates that have successfully completed at least Level 1 of the CFA designation FINRA Requirements FINRA licenses are not required and will not be supported ... for this role. Work Flexibility This role is eligible for hybrid work, with up to one day per week from home. Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment… more
- Wells Fargo (New York, NY)
- …banking, or financial services industry. 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
- Wells Fargo (New York, NY)
- …December 2025 or May/June 2026 This position may be 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)
- …outside of regular business hours + 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)
- …outside of regular business hours + 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
- Citigroup (New York, NY)
- …financial services + Core understanding of US regulations including (ex:SRO/ FINRA requirements, Investment Advisors Act, Regulation Best Interest, Reg 9/ Fiduciary ... accurately and takes appropriate action to gain senior client commitment. + FINRA licenses: 7,66 (or 63&65) **Job Family Group:** Risk Management **Job Family:**… more
- MUFG (New York, NY)
- …environment + Proactive attitude accustomed to taking initiative and solving problems + FINRA Series 7, 63 or 79 license **Compensation & Benefits:** The typical ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more