- MUFG (Jersey City, NJ)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Charles Schwab (Edgewater, NJ)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiringFINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during… more
- JPMorgan Chase (Edison, NJ)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more
- Principal Financial Group (Woodcliff Lake, NJ)
- …retirement industry experience + Must become an associated person of Principal Securities , Inc + Qualified Plan knowledge and unbundled experience strongly preferred ... (Defined Benefit, Defined Contribution) + Excellent demonstrated leadership, negotiation, presentation, organizational, and problem-solving skills required, as well as outstanding interpersonal, analytical, and oral and written communication skills + Must be… more
- MUFG (Jersey City, NJ)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Bank of America (Jersey City, NJ)
- …conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this ... role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in… more
- TD Bank (Mount Laurel, NJ)
- …FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_ the good character, business reputation, qualifications and… more
- Citigroup (Jersey City, NJ)
- …stakeholder engagement and implementation of business initiatives for Markets securities and services Operations/Technology. + Develop the inventory of project ... artifacts as necessary including Project Plans as required for all key technical deliveries, Business Requirements Documentation (BRD's), Functional Requirements Documentation (FRD's) and Test Strategy/Planning documents for different phases of testing… more
- BlackRock (Princeton, NJ)
- …required) working within a financial services or banking platform, with financial securities , private placements, and limited offerings a plus. + Confirmed acumen ... for financial concepts, ability to speak thoughtfully and confidently while using applied financial reasoning. + Highly attentive, ability to focus, excellent follow-through, flexibility and stellar grammar and English skills. + Self-motivated, dedicated, able… more
- MUFG (Jersey City, NJ)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more