- Wells Fargo (Charlotte, NC)
- …check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. Employees support our focus on… more
- Edward Jones (St. Louis, MO)
- …license required (or must be obtained within 4 months of hire) Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, ... and supervisory systems. Leadership, analytical, investigative, and decision-making skills are required. Preferred Experience Bachelor's degree or equivalent industry experience Graduate level degree or additional industry certification(s) is preferred Current… more
- Commonwealth of Pennsylvania (PA)
- …deficiencies, or areas of noncompliance. Analyzes written documentation such as Securities and Exchange Commission (SEC) filings, accounting and auditing standards, ... laws, regulations, revenue bulletins, and court cases. Reviews past transactions that have been captured in accounting records, and researches methods to enforce compliance. Levels of Performance Select the Level of Performance that best describes your claim.… more
- Wells Fargo (Virginia Beach, VA)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + This role ... requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section… more
- TD Bank (Brooklyn, NY)
- …FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be ... eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and… more
- Wells Fargo (Scottsdale, AZ)
- …specified period. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required + For ... the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI,… more
- Wells Fargo (New York, NY)
- …global and cross organizational. **Required Qualifications:** + 5+ years of Securities Product Management experience, or equivalent demonstrated through one or a ... combination of the following: work experience, training, military experience, education **Desired Qualifications:** + Experience in risk management, business controls, or compliance, or equivalent demonstrated through one or a combination of the following:… more
- Truist (West Palm Beach, FL)
- …and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu ... of 66) and applicable Insurance licenses (Life, Health, and Variable) must be active and maintained, or must be obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE Mortgage… more
- Citigroup (Encino, CA)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Bank Retail Mortgage provides ... home lending services via our Citibank branches and centralized service centers. The Home Lending Officer role represents the Retail Mortgage business providing superior service to clients and referral partners and is responsible for originating high quality… more
- Federal Reserve Bank (Cleveland, OH)
- …depository institutions. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted ... an offer of Bank employment, you should raise this issue with the recruiter for this posting. In addition, as a condition of employment, candidates must undergo a background check and will be tested for all controlled substances prohibited by federal law, to… more