- BMO Financial Group (Chicago, IL)
- …knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Series 7 , 63, 24 a plus. + Typically minimum of 6 years of ... growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone… more
- JPMorgan Chase (Winnetka, IL)
- …1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week + Adheres to policies, procedures, and regulatory banking requirements… more
- JPMorgan Chase (Moline, IL)
- …or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week. **Job responsibilities** + Delivers an exceptional customer experience by… more
- US Bank (Chicago, IL)
- …years of investment experience - Two or more years of management experience - NASD Series 7 , 24, 63 and 65/66, 53 or 9&10 Preferred Skills/Experience - Thorough ... 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