- SMBC (New York, NY)
- …preferred but not required. Required Job Skills + Candidates must pass + Series 65, + Series 66 and Series 7 combined, or + Possess one of the following ... Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all...and be responsible for leading all components of the compliance program at an asset management firm in Manhattan,… more
- JPMorgan Chase (New York, NY)
- … compliance , supervision, controls, risk or audit experience + Minimum licensing requirement: FINRA Series 7 and Series 24 + Strong attention to detail + ... of business and regions. **Job responsibilities** + Collaborate with Compliance and Legal teams in order to help ensure...skills** + Bachelor's Degree preferred in a business-related discipline; MBA/ JD is preferred + Additional FINRA Series … more
- Comerica (Dallas, TX)
- …and banking needs + 7 years developing and executing sales and marketing plans + Series 7 + Series 66 + State Insurance License Preferred: + CFP or ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...A Bachelor's degree in Business, Economics, or Finance + 7 years of experience sales and client management experience… 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 ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Truist (Charlotte, NC)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics * CFP preferred or CTFA, CFA, CPA, JD or MBA * Completion or enrollment in certification… more
- Truist (Chattanooga, TN)
- …essential functions. + Bachelor's Degree Required + FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...or Economics + CFP preferred or CTFA, CFA, CPA, JD or MBA + Completion or enrollment in certification… more
- Citigroup (New York, NY)
- …(mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + In-depth knowledge ... Bachelor's degree in finance, business, or related field (required). Advanced degrees ( JD , LL.M.) or certifications (CFP(R)) are preferred. + 15+ years of experience… more
- Truist (Philadelphia, PA)
- …essential functions. * Bachelor's Degree required * FINRA: Maintains proper licenses including Series 7 , 63, 65 or 66, the Securities Industry Essentials (SIE) ... legal, operating and regulatory controls to manage risk and compliance . Participate as needed with Truist regulators and individual...Ability to travel, occasionally overnight **Preferred Qualifications:** * MBA, JD , CPA, CFA or CFP * 5 years of… more
- Customs and Border Protection (Beecher Falls, VT)
- …You must be currently serving or have previously served as a permanent GS- 7 /9/11/12 with US Customs and Border Protection (CBP) and are currently serving or ... have served in the 1895 series within the last five years to qualify under...in the United States; 6) renounced U. S. citizenship; 7 ) subject to a court-ordered restraining (protection) order from… more
- Atria Wealth Solutions (King, NC)
- …economic principles relating to all aspects of personal finance. PROFESSIONAL LICENSES - + Series 7 , 66, or (63 and 65) securities licenses required. + North ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Accident and Health Insurance License required. + CFP, ChFC, JD , CPA or similar designation currently held of actively… more
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