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Mar 13 US only-Branch Auditors FINRA-SEC Temporary Contract New York City, NY

to hire auditors with experience with SEC or FINRA compliance audits. US ONLY. You will be assigned local branch offices to audit, so travel will be limited. Typical engagement... more

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Apr 14 Merrill Lynch Wealth Management - Affluent Client Solutions Executive Bank of America New York, NY

mindset • FINRA licenses: 7,66 (or 63 and 65), 24, 9 and 10. Posting Date: 02/27/2014 Location: US-NY-New York Travel: Yes, 50 % of the Time Full / Part-time:... more

Apr 08 Senior Financial Advisor III Kew Gardens Queens (New York) Capital One Jamaica, NY

individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved ... - FINRA Series 7 - FINRA Series 66 OR FINRA Series 63/65 - High School... more

Apr 08 Senior Financial Advisor III Rego Park Queens (New York) Capital One Rego Park, NY

individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved ... Basic Qualifications: - FINRA Series 7 - FINRA Series 66 OR FINRA Series 63/65... more

Mar 28 VP, Third Party Cross Platform Implementation, Managed Solutions Group Bank of America Jersey City, NJ

a project plan. * Current FINRA Series 7 and 66 (or 63 and 65) licenses required. Posting Date: 03/28/2014 Location: US-NJ-Jersey City Travel: Yes, 5 % of the Time Full /... more

Mar 27 Institutional Sales Supervisor Bank of America New York, NY

This position is a FINRA regulatory supervisor role within a centralized group. Roles and ... the segment or function. Qualifications * FINRA registrations Series 7, and 63/65 or... more

Mar 25 Senior Financial Advisor III Capital One Forest Hills, NY

individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved ... Basic Qualifications: - FINRA Series 7 - FINRA Series 63 and Series 65, OR FINRA... more

Jan 22 Associate Admin Manager, Merrill Edge Supervision & Control Bank of America New York, NY

Bachelor's Degree or equivalent work experience Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider... more

Jan 14 Senior Financial Advisor III New York NY (Grand Central) Capital One New York City, NY

individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved ... - FINRA Series 7 - FINRA Series 63 (If required by State) - FINRA Series... more

Jan 07 Senior Financial Advisor III 59th Street and 3rd Avenue Capital One New York City, NY

individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved ... - FINRA Series 7 - FINRA Series 63 (If required by State) - FINRA Series... more

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