- Truist (New York, NY)
- …support and oversight for change activities (both business and regulatory change). 6 . Provide oversight and support for open risk, audit, and regulatory issues. ... of risk management experience in financial services or related field. 3. 6 + years of leadership experience. 4. Subject matter expertise in assigned/specified line… more
- Raymond James Financial, Inc. (New York, NY)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices and procedures of securities industry and/or banking compliance. + Rules and regulations of: ... Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA),...in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Citizens (Rochester, NY)
- …with a minimum 3 or more years industry experience + A combination of Life and Health, Series 6 , and/or Life and Health, SIE licenses required + Must be able to ... you're passionate about a career in Wealth Management, Citizens Securities , Inc. is hiring for the Investment Assistant II...and dedicated time and support to successfully pass your Series 7 and 66 exams. The Investment Assistant II… more
- Wells Fargo (New York, NY)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Wells Fargo (Syracuse, NY)
- …Z (LO) outlined in the job expectations below **Required Qualifications:** + 6 + months of Customer Service, Sales, Relationship Building experience, or equivalent ... work experience, training, military experience, education + Successfully completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:**… more
- Wells Fargo (New York, NY)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- JPMorgan Chase (Pittsford, NY)
- Join JPMorgan Chase & Co., a global leader in financial services with assets of $2. 6 trillion, and be part of a team that makes a real difference every day. As a ... communicating changes to the team. + Develop expertise in securities rules and regulations through research and training. +...strong understanding of industry practices. + Valid and active Series 7, 9/10 (or 4, 24, and 53), 66… more
- Raymond James Financial, Inc. (New York, NY)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 or ability to obtain within 6 months, depending on assigned ... + Investment concepts, practices and procedures used in the securities industry. + Principles of finance and securities... securities industry. + Principles of finance and securities industry operations. + Financial markets and products. +… more
- Wells Fargo (New York, NY)
- …as a skilled advisor to leadership **Required Qualifications:** + 5+ years of Securities Sales experience, or equivalent demonstrated through one or a combination of ... education **Desired Qualifications:** + BS/BA degree or higher + 6 + years of corporate access experience at a large...+ Up to 50% travel + Registration for FINRA Series 7 must be completed within 90 days of… more
- JPMorgan Chase (New York, NY)
- …excel in a fast-paced, collaborative work environment. + Must possess or obtain FINRA Series 79, Series 63, and Securities Industry Essentials (SIE) licenses ... corporate finance, investment banking, credit, payments, asset management, and securities services. **Job responsibilities:** + Lead client meetings and prepare… more