Series 24 Jobs in New York State
1 - 5 of 5
Search Results - Series 24 Jobs in New York State
Hold Brothers Capital, LLC-New York
for information.
Qualifications
• Bachelors degree in business administration, Finance, Legal or related field
• 4+ years of experience in public equities trading compliance.
• Series 7 required, Series 24 preferred or attained upon hiring.
• Strong knowledge...
mindmatch.ai -
New York
Conductregulatory oversight, specifically marketing supervision, in accordance with applicable regulatory requirements, including Series 24 review and approval, CIRO, and internal policies and procedures to detect and/or prevent violations.
Including...
tiptopjob.com -
Groupe Crédit Agricole-New York
and CFTC.
Qualifications/Education Required
• Bachelor’s Degree
• JD preferred
Experience Required:
• 8+ years prior compliance advisory experience, including interaction with US regulators.
Specialist Training Required:
• Series 7 Series 3 and Series...
mindmatch.ai -
Michael Page-New York
deadlines
• Quick learner with a proactive and team-oriented approach
• Professional and confidential work ethic
• SIE, Series 7, and Series 24 required for the role, but not a prerequisite
What's on Offer
Opportunity to grow and be exposed to every...
michaelpage.com -
Blue Ocean Wealth Solutions-East Hills
Actions received by Producers or Associates
Qualifications Needed:
Series 7 is Mandatory and Life & Health license and Series 24 preferred
BA/ BS- Accounting & Finance Preferred
Minimum 1-3 years’ experience in a compliance role or as a Financial...
mindmatch.ai -
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