- PNC (New York, NY)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... Derivatives - SIE, Series 7 and 63 within 120 days of employment. FIG - SIE, Series 7 and 63 within 120 days of employment. Fixed Income - SIE, Series… more
- PNC (New York, NY)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... Derivatives - SIE, Series 7 and 63 within 120 days of employment. FIG - SIE, Series 7 and 63 within 120 days of employment. Fixed Income - SIE, Series… more
- Wells Fargo (New York, NY)
- …moderately complex to complex client needs + May study and test for additional licenses ( Series 7 and Series 66) once the minimum licensing requirements are ... financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents)...practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA… more
- Bank of America (New York, NY)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- Bank of America (New York, NY)
- …compliance to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum of 5+ years… more
- TIAA (New York, NY)
- …Preferred **Work Experience** + 3+ Years Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... 7IC **Required Qualifications:** + 3+ years of experience in financial services + FINRA Series 7 and Series 66 (or combination of 63 & 65) registrations must… more
- Bank of America (Huntington, NY)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... client needs and appropriate solutions. * **Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses** (63 & 65 accepted, in lieu… more
- Morgan Stanley (New York, NY)
- …* Four-year college degree required or equivalent education * Previous industry experience * Active Series 7 (GS), Series 9 and Series 10 (SU), ... and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) * Other licenses as required for the role or by management _*Knowledge/Skills*_ * Effective… more
- Equitable (New York, NY)
- …focus. + Knowledge of state licensing requirements a plus + Knowledge of FINRA licensing requirements (SIE, Series 7 , Series 6, Series 63, Series 66) ... excellence + Experience with FINRA examination preparation a plus + FINRA SIE, and Series 7 a plus, or ability to obtain after hire + Research and data gathering… more
- Truist (New York, NY)
- …the essential functions. 1. BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 for those licensed prior to October 2019), Series ... 5. Formulates investment ideas. 6. Writes draft research commentary. 7 . Depending on experience and the needs of the...63, Series 87 and either the Series 86 or a FINRA waiver for those who… more