- 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
- Wells Fargo (New York, NY)
- …+ 4+ years of Management experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 24 examinations (or FINRA ... commitment to risk management and governance processes **Job Expectations:** + Registration for FINRA Series 65 must be completed within 90 days of hire date if… more
- Wells Fargo (New York, NY)
- …and urgency for achieving results. **Job Expectations:** + Up to 10% travel + Registration for FINRA Series 7 must be completed within 90 days of hire date ... as an expert advisor to leadership **Required Qualifications:** + 7 + years of Securities Sales Trading experience, or equivalent... recognized equivalents will be accepted. + Registration for FINRA Series 63 must be completed within… 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)
- …in investment and securities market. * Minimum of 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA ... use of effective sales and communication skills. * Registered Representative with a FINRA Series 4, 53, and Series 57 preferred. *WHAT'S IN IT FOR… more
- Wells Fargo (New York, NY)
- …+ 4+ years of team management experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 24 examinations (or FINRA ... and achieving targeted business outcomes **Job Expectations** + For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials… more
- JPMorgan Chase (New York, NY)
- …project deadlines. + 4 years of relevant experience in the financial securities/investment industry. + FINRA Series 7 and one or more of the following ... licenses: FINRA Series 66 (63/65). **Preferred Qualifications, Capabilities, and Skills:** + Bachelor's Degree preferred. + Advanced knowledge of securities… more