- Citizens (Boston, MA)
- Description This FINRA /Securities Specialist Investigator III will be tasked with investigating potential federal FINRA Rules and Securities Law violations and, ... Experience with social media, OSINT, payments, investments research + Knowledge of FINRA /SEC investigative best practices + Competence using a desktop computer with… more
- ADP (Louisville, KY)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Qualifications:** + FINRA Series 6 and 63 securities licenses and Securities...education. December 2023 or May 2024 grads preferred.** + FINRA Series 6 and 63 securities licenses and Securities… more
- ADP (Louisville, KY)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... provide an environment where you can continue to make a meaningful impact. + FINRA Series 6/63/7 securities licenses and Securities Industry Essentials + 1+ year of… more
- Aegon Asset Management (Denver, CO)
- …compliance experience. + Comprehensive knowledge of securities laws, regulations, rules, and applicable FINRA licensing (Series 6 & 26, or able to obtain within 90 ... days). + Strong written and verbal communication skills. + Analytical and research skills. + Proficiency using MS Office tools. Preferred Qualifications: + Series 7 & 24, or able to obtain within 90 days. + Ability to work in a fast-moving team. Our Culture:… more
- Wells Fargo (Chicago, IL)
- …of management experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations or… more
- Wells Fargo (Naperville, IL)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 9/10 (or FINRA ...+ FINRA registration including Series 9/10 (or FINRA recognized equivalents) + FINRA registration including… more
- Wells Fargo (Indianapolis, IN)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 1+ years of leadership experience +… more
- Wells Fargo (Alpharetta, GA)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 9/10 (or FINRA ...+ FINRA registration including Series 9/10 (or FINRA recognized equivalents) + FINRA registration including… more
- TD Bank (Greenville, SC)
- …Business:** TD Wealth **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position with the Central Office of ... and approves New Account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and… more
- Wells Fargo (Fallon, NV)
- …and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Portsmouth, NH)
- …the following: work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA ... + US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. … more
- Wells Fargo (Salt Lake City, UT)
- …the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 (or FINRA ... experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66...7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Green Valley, AZ)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Coral Gables, FL)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired qualifications:** + Brokerage client support experience +… more
- Wells Fargo (Bellevue, WA)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Wells Fargo (Davenport, IA)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... complex environment **Job Expectations:** + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position +… more
- Wells Fargo (Short Hills, NJ)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Ability to prioritize work, meet deadlines,… more
- Wells Fargo (Short Hills, NJ)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Ability to prioritize work, meet deadlines,… more
- TD Bank (New York, NY)
- …and Firm policies related to all business activities (eg OCC, SEC, FINRA etc.). Ensures all Continuing Education requirements + are attained + Responsible ... regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to...or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- Wells Fargo (Hyannis, MA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration + US only: Insurance licenses **Desired Qualifications:** + Full service… more