- Truist (Winston Salem, NC)
- …+ Master's degree in finance or business, or equivalent education and related training. + FINRA Series 4 , 7, 24, 53, and 66 licenses ( Series ... 3. Understanding of SOX and other industry-related regulatory requirements. 4 . Knowledge of operational and other non-financial risks. 5....9 &10 can be used in lieu of 53, Series 63 & 65 can be used in lieu… more
- Principal Financial Group (Des Moines, IA)
- …**Skills That Will Help You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series 53 & 4 + Prior FINRA CAT experience helpful ... + Bachelor's degree or equivalent experience + Holds active FINRA Series 7, 24 & 66 +...III you will need the above qualifications + your Series 4 and Series 53.… more
- US Bank (Los Angeles, CA)
- …Series 7, 65/66, 24, and state insurance licenses or the ability to secure FINRA Series 4 , 53 or 9/10 (or combination of acceptable/interchangeable ... Leaders and Field Supervision Principal to assure adherence to FINRA , MSRB, OCC, and internal compliance policies; acting as...licenses based on FINRA waiver rules or grandfather provisions within 180 days… more
- Truist (Atlanta, GA)
- …+ Audit experience. + Strong knowledge in field of assigned business unit(s). + FINRA Series 4 . **General Description of Available Benefits for Eligible ... may be made to enable individuals with disabilities to perform the essential functions. + ** FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used… more
- Equitable (Woodbridge, NJ)
- …roles **Preferred Qualifications** + CLU, ChFC and/or CFP a big plus + FINRA Series 4 registration is encouraged + Strong professional work history in ... manage and work in the office a minimum of 4 days per week. This is not a remote...401(k) plan. **Qualifications** **Required Qualifications** + Bachelor's degree + FINRA Series 7, 24, 53, and 66… more
- Truist (Coral Gables, FL)
- …in a financial institution with emphasis in operations, supervision and/or risk management 3. FINRA Series 24 4 . Knowledge of retail financial institutions ... to discover root cause and further escalate as appropriate. 4 . Conduct and monitor negative news screening. 5. Assist...work independently while juggling multiple priorities Preferred Qualifications: 1. FINRA Series 7 and/or 66 2. 7… more
- Truist (Jupiter, FL)
- …4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… more
- Citigroup (San Antonio, TX)
- …Salesforce and other related business applications preferred + US Registered FINRA Series 7, 9 & 10 (or Series 4 , 24, 53) and 66 (or Series ... Risk Officer role in Citi Global Wealth is a seasoned FINRA -licensed securities professional role responsible for executing day-to-day supervisory activities across… more
- Wells Fargo (Suwanee, GA)
- …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series … more
- Wells Fargo (Napa, CA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations, or equivalent must be ... of leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA… more
- Vanguard (Scottsdale, AZ)
- …be obtained no later than 14 days prior to your start date. + This job requires FINRA Series 7 and 66 (or ability to obtain within 90 days of joining) regulatory ... training, coaching, and continuous support needed to obtain the FINRA Series 7 & 66 (if not...of PTO. + Industry-leading retirement savings - up to 4 % matched contributions, and 10% employer contribution without condition.… more
- Wells Fargo (Walnut Creek, CA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations or equivalent must be ... the following: work experience, training, military experience, education + 4 + years of management experience + US only: Successfully...+ US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63… more
- Wells Fargo (Denver, CO)
- …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA ... the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws… more
- Wells Fargo (Walnut Creek, CA)
- …years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 66 (or 63 and 65) ... adherence to the policies and procedures **Required Qualifications:** + 4 + years of Supervisory Control, Risk Management Consulting, Property...examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Bluffton, SC)
- …Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 6 and 63 examinations, or equivalent must be completed within ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...communicated at time of offer acceptance. For certain states, FINRA Series 65 (or equivalent) will also… more
- Wells Fargo (Deerfield, IL)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... and training for entry-level Client Associates **Required Qualifications:** + 4 + years of Brokerage and Client Services experience, or... FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Nashville, TN)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... client requests and conducts special projects/analyses. **Required Qualifications:** + 4 + years of Performance Analysis experience, or equivalent demonstrated... FINRA recognized equivalents) sufficient to qualify for immediate … more
- Charles Schwab (Orlando, FL)
- …have. + Bachelor's degree or equivalent or equivalent work related experience + Active and valid FINRA Series 7 license is required + Active and valid FINRA ... 9/10 license is required + Active and valid FINRA Series 66 (63/65) license is required...years in the financial services industry with at least 4 years in a sales leadership capacity + A… more
- Principal Financial Group (Des Moines, IA)
- …+ Bachelor's degree or equivalent experience, 4 plus related years of experience + FINRA Series 6/7 and Series 65/66 required with the ability to meet ... leader to figure out which option may align best based on several factors. ** FINRA -** FINRA Series 6/7 and Series 65/66 License(s) required with the… more
- Raymond James Financial, Inc. (Memphis, TN)
- …_(Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... best practices to ensure the non-financial regulatory reporting with FINRA , IRS, SEC, remains current and effective. + Prepares...that an exemption or grandfathering cannot be applied._ + ** Series 99** , _or ability to obtain within 120… more