- MUFG (New York, NY)
- …that impact the products and services business lines offer. + Manage financial crimes issues and all regulatory deliverables with relevant regulatory ... agencies. Through effective communication and oversight, ensure all financial crimes issues and regulatory deliverables are...as the top BSA/AML officer at a complex, global financial services institution, or the "second-in-command" to… more
- Wells Fargo (Davidson, NC)
- …the job expectations below **Required Qualifications:** + 4+ years of Banking and Financial Services experience, or equivalent demonstrated through one or a ... + 2+ years of leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 63 examinations (or… more
- Citigroup (Getzville, NY)
- …Control Analyst, Auditor, or related position performing data analysis within the financial services industry. Alternatively, employer will accept a Bachelor's ... to ensure accuracy, completeness, and validity of CTI data impacting Citi's financial books and records, accounting, regulatory and management reporting results.… more
- PNC (NC)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... Experience, Strategy (RCES) organization, supporting the First Line of Defense (1LOD) Financial Crimes Compliance Program Office (FCCPO) team. This is a remote… more
- MUFG (New York, NY)
- …credit solutions, or a similar role, preferably within the insurance or financial services industry. **Preferred Qualifications:** + Advanced degree (MS, MBA, ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- Wells Fargo (Leawood, KS)
- …63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents) + Financial services experience + Client services experience + 6 + ... Wells Fargo Advisors training program for meeting personal, professional, and organizational client service and financial goals within the Financial Advisory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to 3 years **Certifications** S65 - Uniform Investment Adviser Law Examination - Financial Industry Regulatory Authority (FINRA), s66 - Uniform Combined State ... balance new client development, sales activities, investment management, customer service and compliance with personal and professional growth and...Law Examination - Financial Industry Regulatory Authority (FINRA), s7 -… more
- Raymond James Financial, Inc. (Bluffton, SC)
- …Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - ... balance new client development, sales activities, investment management, customer service and compliance with personal and professional growth and...Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA -… more
- Wells Fargo (Charlotte, NC)
- …Knowledge and understanding of Salesforce, Smart Station or contact management system + Financial services sales experience + High level of initiative and ... work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (or… more
- Raymond James Financial, Inc. (Reston, VA)
- … Planner Board of Standards, Inc., Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - ... planning. * Provide a high level of customer service in a calm, courteous and professional manner. *...Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Series 7_GS… more