- Truist (New York, NY)
- …software products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7 , and 66 licenses ( Series ... 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)
- …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
- Wells Fargo (Purchase, NY)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within 120 days.… more
- TD Bank (New York, NY)
- …a proven track record in a high-level management role within wealth management or private banking + FINRA Series 7 , 24, and 66 (or equivalent - Series 9, ... Keeps abreast of emerging issues and trends from key regulatory bodies including FINRA , SEC, OCC + Partners with Senior Executives across Consumer Distribution &… more
- Wells Fargo (Syracuse, NY)
- …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) ... Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must… 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 ... number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. + For specific FINRA qualification… more
- City National Bank (New York, NY)
- …5 years of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * ... May possess CFP, JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license… more
- Atria Wealth Solutions (Corning, NY)
- …Potter counties, Pennsylvania, as well as their immediate family members. This role requires a FINRA series 7 licensed candidate who possesses the drive and ... (ie, Social Security, Education planning, Retirement planning, etc.) Required Qualifications: + Active Series 7 , 63/65 (or 66) licenses along with Life, Accident… more
- 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
- 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