., CFP, CFA, MBA, CHFC, CPWA) highly preferred Active & valid FINRA Series 7 license required Active & valid FINRA Series...
’s degree in business, finance, accounting or related field Experience: CFP certification required FINRA Series 7 and 66...
certification required FINRA Series 7 and 66 7-10 years experience in the financial industry At BNY, our inclusive culture...
to deliver a differentiated experience for every client. Pershing LLC (member FINRA, NYSE, SIPC) is a BNY company. With offices...
a FINRA series 7 and 24, as required;or both can be acquired by taking the exams post hiring, as a condition of employment...
(required) Licenses and Certifications FINRA Series 7 and 66 (or 63 & 65) (preferred) Certified Financial Planner (CFP) (preferred...
preparation of all presentation and review materials. For those colleagues with FINRA Licenses, review asset management and CNS... working with high net worth clients FINRA Series 7 and 63 and 65 or 66 Skills and Knowledge 10 years of experience...
the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, State of New York, and/or the State of Delaware, as applicable. Evaluate...
filings to FINRA/SEC as well as certain Treasury International Capital (TIC) to the Federal Reserve. In addition, the... during on-site or remote examinations from the entity’s regulators (FINRA/SEC, NFA) Review reporting and operational processes...
of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities...