- TD Bank (New York, NY)
- …multiple tasks and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7 , 63 &24** + **Life and Health ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
- Citigroup (New York, NY)
- …skills and interpersonal relationships with ability to influence. + Required: US FINRA Registration: SIE; Series 7 ; Series 63 + Series 65 (or ... the franchise. This includes heads of HR, Legal, Risk, Compliance , ICG, Mortgage, Retail Bank, Commercial Bank, and Capital...Series 66); Series 9 + Series 10 (or Series 24, Series… more
- Veterans Affairs, Veterans Health Administration (Bath, NY)
- …Caregiver Support Program specific to his/her area of assignment and insures compliance and collaboration with local facility and the VA Central Office Caregiver ... and improve the program and processes. Work Schedule: M-F 7 :30am - 4:00pm Telework: Not available. Virtual: This is...or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by… more
- 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
- Equitable (Syracuse, NY)
- …**Qualifications** **Required Qualifications** + 3 Years of Experience with FINRA Series 7 and Series 63 or Equivalent ... emphasis on driving Advisor Assist program growth. Responsible for compliance and supervision of the Financial Professionals on the...is Required + Ability to obtain FINRA Series 24 license within 90 days of… more
- NBT Bank (Vestal, 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
- JPMorgan Chase (New York, NY)
- …with office software applications for efficient data management and reporting. + Must hold FINRA Series 7 and one or more of the following licenses: FINRA ... you will lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You will work closely… more
- Veterans Affairs, Veterans Health Administration (Canandaigua, NY)
- …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 ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...be found by going to http://vaww.va.gov/OHRM/T38Hybrid/. Failure to Obtain License or Certification. In all cases, social workers must… more
- Veterans Affairs, Veterans Health Administration (Canandaigua, NY)
- …treatment planning process with other disciplines. Work Schedule: Monday through Friday: 7 :30 am to 4:00 pm Recruitment Incentive (Sign-on Bonus): Not Authorized ... 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
- 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