- 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 (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
- 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
- Wells Fargo (Purchase, NY)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within ... the following: work experience, training, military experience, education + 4 + years of management or leadership experience + US...+ US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63… more
- Wells Fargo (Larchmont, 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 (New York, NY)
- … 7 and 24 (or FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time ... of the following: work experience, training, military experience, education + 4 + years of management or leadership experience **Desired Qualifications:** +… more
- 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
- Robert Half Finance & Accounting (New York, NY)
- …policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 FINRA license is advantageous This role is ... located in midtown Manhattan, New York. Our client requires 4 + years of Compliance experience at a Broker Dealer...trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA license is advantageous +… more
- Equitable (New York, 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
- BlackRock (New York, NY)
- …or ETF business with 1+ years advertising review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; ... largest Exchange Traded Fund (ETF) provider globally with over $ 4 .3 trillion in assets under management. With a long...work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory compliance of marketing… more