• Senior Risk Advisory Manager Public Finance…

    Truist (New York, NY)
    …Qualifications:** + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
    Truist (07/19/25)
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  • Head of Distribution US Wealth (US)

    TD Bank (New York, NY)
    …+ 15+ years Must have extensive Wealth Management leadership experience with a proven track record + FINRA Series 7 , 24 (or equivalent - Series 9, 10) ... related to US Securities and financial markets (OCC, SEC, FINRA , and State Securities Regulators) + Expert human relations...management skills **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
    TD Bank (07/30/25)
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  • Director, US Equity Derivatives

    Scotiabank (New York, NY)
    …facilitating mass pricing of exotic structures. FINRA Series 3 required. FINRA Series 7 required. FINRA Series 55 required. The offered ... salary is between $293,000-$300,000 per year. 40 hours per week. QUALIFIED APPLICANTS:Please apply directly through our websitehttps://www.scotiabank.com/careers by searching for Director, US Equity Derivatives & indicate job codeLM032825WEB. Location(s):… more
    Scotiabank (07/23/25)
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  • Remote Advice Controls & Operations Manager

    Equitable (Syracuse, NY)
    …**Qualifications** **Required Qualifications** + 3 Years of Experience with FINRA Series 7 and Series ... 63 or Equivalent is Required + Ability to obtain FINRA Series 24 license within 90 days of hire + Thorough knowledge of life, annuity, investment products;… more
    Equitable (06/24/25)
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  • Alternative Investment Internal Consultant

    T. Rowe Price (New York, NY)
    …combination of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 AND 63/65, OR Series 7 AND ... sophisticated communication skills + CAIS, CIMA, CFP or CFA designation(s) FINRA Requirements FINRA licenses are required and will be supported for this role.… more
    T. Rowe Price (08/04/25)
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  • JP Morgan Wealth Management - Supervisory Manager…

    JPMorgan Chase (New York, NY)
    …Familiarity with office software applications for efficient data management and reporting. + Must hold FINRA Series 7 and one or more of the following ... precision and clarity. **Required Qualifications, Capabilities, and Skills:** + 7 years of experience in the securities/investment industry, with...licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). +… more
    JPMorgan Chase (07/21/25)
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  • JP Morgan Wealth Management - Market Director…

    JPMorgan Chase (New York, NY)
    …performing Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7 , 66 (or equivalent) is required + A valid and active FINRA ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
    JPMorgan Chase (07/07/25)
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  • Business Aligned Supervisory Officer - Cross…

    Wells Fargo (New York, NY)
    …issues. + Experience handling highly sensitive and confidential information utilizing sound judgement. + FINRA Series 7 , 24 & 63 licenses preferred but not ... up to 10% + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing...for dependent children + Adoption reimbursement **Posting End Date:** 7 Aug 2025 **_Job posting may come down early… more
    Wells Fargo (07/29/25)
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  • Wealth Managment Advisor

    US Bank (New York, NY)
    …five years of experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 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
    US Bank (06/19/25)
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  • Markets Program Analyst - (New York, City)- Early…

    Wells Fargo (New York, NY)
    …with financial markets, banking, or financial services industry. **JOB EXPECTATIONS:** + Registration for FINRA Series 7 must be completed within 90 days of ... if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for...if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted Wells Fargo will… more
    Wells Fargo (07/15/25)
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