- 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
- Wells Fargo (New York, NY)
- …understand function, policies, procedures, and compliance requirements **Required Qualifications:** + 6 + months of Securities Sales experience, or equivalent ... **About this role:** Wells Fargo is seeking a Securities Sales Analyst to join our Private Client...derivatives and confirmations **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90… 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 (Yonkers, 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
- Wells Fargo (Ardsley, 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
- Wells Fargo (New York, NY)
- …experience + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 24 examinations (or FINRA recognized equivalents) sufficient ... Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 65 examination (or FINRA recognized equivalents) sufficient to… 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
- Wells Fargo (New York, NY)
- …Share Rights or other long-term incentive awards. **Required Qualifications:** + 6 + months of Investment Banking Program experience, or equivalent demonstrated ... markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date… more
- NBT Bank (Fairport, NY)
- …team player and high quality service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not ... Abilities: + Thorough knowledge of investment and insurance products and applicable securities and insurance rules and regulations. + Strong communication and PC… more
- Wells Fargo (New York, NY)
- …Restricted Share Rights or other long-term incentive awards. **REQUIRED QUALIFICATIONS:** + 6 + months of Securities Sales Trading experience, or equivalent ... markets, banking, or financial services industry. **JOB EXPECTATIONS:** + Registration for FINRA Series 7 must be completed within 90 days of hire date if it… more