• Business Unit Risk Specialist - FINRA

    Truist (New York, NY)
    …products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7, and 66 licenses ( Series 63 & ... review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit… more
    Truist (08/15/25)
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  • Senior Risk Advisory Manager Public Finance…

    Truist (New York, NY)
    …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor ... to the assigned business unit regarding its control environment. 4 . Support the business in the development of Key...or related field. 3. 6+ years of leadership experience. 4 . Subject matter expertise in assigned/specified line of business.… more
    Truist (07/19/25)
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  • Associate, Structured Note Sales

    Scotiabank (New York, NY)
    …upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 4 + years of experience in structured sales ... + Proven track record of established relationships with private banks, broker dealers, RIA's, and asset managers in the US **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for… more
    Scotiabank (07/15/25)
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  • Senior Premier Banker Upper Manhattan

    Wells Fargo (New York, NY)
    …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series … more
    Wells Fargo (08/29/25)
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  • Branch Support Manager

    Wells Fargo (New York, NY)
    …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within ... practices and coach on operational risk **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...+ US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7… more
    Wells Fargo (09/03/25)
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  • Associate Private Client Financial Advisor

    Wells Fargo (Syracuse, NY)
    …Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to ... license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63...for dependent children + Adoption reimbursement **Posting End Date:** 4 Sep 2025 **_Job posting may come down early… more
    Wells Fargo (08/30/25)
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  • Senior Registered Client Associate

    Wells Fargo (New York, NY)
    …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... personnel and training for entry-level Client Associates **Required Qualifications:** + 4 + years of Brokerage and Client Services experience, or equivalent… more
    Wells Fargo (08/29/25)
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  • Corporate & Institutional Banking Development…

    PNC (New York, NY)
    …**Certifications** No Required Certification(s) **Licenses** Public Finance & Healthcare - SIE, Series 52 & 63 (79 optional) within 180 days of employment. Asset ... employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7, and 63 within...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
    PNC (08/09/25)
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  • Financial Professional

    Equitable (Melville, NY)
    …a positive impact in the lives of its clients. Our network of over 4 ,300 financial professionals across the US is committed to fostering relationships that help ... achieve meaningful financial wellness. In total, ​​Equitable​ Advisors serves 2. 4 million clients nationwide. Our mission is simple: to...experience + **Licensing** : State Life & Health, SIE, Series 7, Series 66 + **Personal Attributes**… more
    Equitable (09/01/25)
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  • Equity Research Associate - Medical Devices…

    Truist (New York, NY)
    …those licensed prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II. 3. Minimum of ... roadshows, conferences, field trips, bus tours, and conference calls. 4 . Conduct independent industry assessments and company-specific research reports....Top Off (or Series 7 for… more
    Truist (08/08/25)
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