• Broker Dealer Compliance

    Robert Half Finance & Accounting (New York, NY)
    …policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 FINRA license is advantageous This role ... personal trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA license is advantageous + Bachelor's Degree The … more
    Robert Half Finance & Accounting (08/11/25)
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  • Senior Compliance Business Oversight…

    TD Bank (New York, NY)
    …priorities to meet deadlines** + **Experience presenting to management and regulators** + **FINRA series 7 and 24** + **Life and Health Insurance License ** ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
    TD Bank (08/21/25)
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  • Sr. Counsel, NBCU News Group

    NBC Universal (New York, NY)
    …is a full-service production company that focuses on documentary features and series , narrative podcasts and scripted adaptations of NBC News IP. Leveraging the ... of editorial intellectual property, Studios develops and produces premium documentary series , specials and films for distribution on NBCU and third-party platforms.… more
    NBC Universal (08/28/25)
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  • Manager, PCG Branch Exams

    Raymond James Financial, Inc. (New York, NY)
    …and/or training as approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area required or the ... parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies...within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain… more
    Raymond James Financial, Inc. (08/27/25)
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  • Sr. Advisor, PCG Branch Exams

    Raymond James Financial, Inc. (New York, NY)
    …education, and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license (s) for assigned functional area required or the ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain… more
    Raymond James Financial, Inc. (08/09/25)
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  • Financial Consultant

    NBT Bank (Fairport, NY)
    …high quality service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License . Series 7 preferred. If not Series 7 ... available across the company. + EEO is the law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/ compliance /posters/pdf/eeopost.pdf) + EEO is the Law Poster Supplement +… more
    NBT Bank (08/08/25)
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  • Co-Head of Securities Based Lending

    Wells Fargo (New York, NY)
    …+ Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or FINRA recognized equivalents) **Job Expectations:** + ... Registration for FINRA Series 7 & 24 must be completed...90 or 180-day time period contingent upon number of license (s) needed if not immediately available to transfer upon… more
    Wells Fargo (08/15/25)
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  • Social Worker

    Veterans Affairs, Veterans Health Administration (Wellsville, NY)
    …medications and their effects/side effects, and medical terminology. Work Schedule: M-F 7 :30am - 4:00pm EDRP Authorized: Former EDRP participants ineligible to apply ... be required to complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued dentification cards that… more
    Veterans Affairs, Veterans Health Administration (08/27/25)
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  • BankOnBuffalo, Wealth Partner Team Lead

    BankOnBuffalo (Buffalo, NY)
    …education funding, and financial planning. CFP or similar professional designation preferred. FINRA Series 7 and 63 licenses plus Series 65 or ... business issues. + Adhere to the complexity of FINRA guidelines and bank compliance . + Establish additional processes and procedures that align with corporate goals… more
    BankOnBuffalo (08/20/25)
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  • Financial Advisor Senior

    City National Bank (New York, NY)
    …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * The SFA ... CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and...7 and 63 securities licenses and state insurance license required. * CFP designation highly preferred. *WHAT'S IN… more
    City National Bank (08/07/25)
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