- 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 ... and competing priorities. 6. Strong written and verbal skills. 7 . Uses judgment but close supervision is required for...9 &10 can be used in lieu of 53, Series 63 & 65 can be used in lieu… more
- Truist (Raleigh, NC)
- …Microsoft Office software products. + Ability to travel, occasionally overnight. **Preferred Qualifications:** + ** FINRA Series 7 , 24, 53, and 66 licenses ( ... Series 9&10 can be used in lieu of 53, Series 63 & 65 can be used in lieu of Series 66).** + **Life/Health and Variable Insurance Licensing** + 5 or more… more
- Ally (Tallahassee, FL)
- …Mac OS X). * Proven experience in desktop trading tools. **The Skills You Bring** * Knowledge: FINRA Series 7 & 63 or 66 licenses required. * Ability to ... **The Work Itself** Upon hire, candidates must be able to be registered with FINRA in all 50 states and 2 territories. (Hours of operation Monday-Friday 7am-10pm… more
- Equitable (Melville, NY)
- …**Qualifications** **Required Qualifications** + Minimum of 1-3 years in Compliance Role + FINRA Series 7 , 66 registrations required & 24 registration ... Branch Compliance Manager (Willing to Obtain Series 24) ( 240000JO ) **Primary Location** :...preferred though willing to obtain Series 24 within 180 days of employment + Compliance… more
- TD Bank (Burlington, VT)
- …(Preferred or ability to obtain within the scheduled time frame) * Securities Industry Essentials (SIE) * FINRA Series 7 Required * FINRA Series 24 ... (or Series 9/10) (Required or ability to obtain within 90-day time frame) * FINRA Series 63 or 66 (Required or ability to obtain within 90-day time frame) * … more
- Vanguard (Scottsdale, AZ)
- …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) ... for the role. + Fully paid training, coaching, and continuous support needed to obtain the FINRA Series 7 & 66 (if not held prior to employment). + Access to… more
- Wells Fargo (Charlotte, NC)
- …of the following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 examinations or equivalent must be completed within either a 90 or… more
- Wells Fargo (Charlotte, NC)
- …following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 exam to qualify for immediate ... FINRA recognized equivalents) **Desired Qualifications:** + US Only: Successfully completed FINRA Series 66 (or 63 & 65) and 9/10 exams to qualify for… more
- Wells Fargo (Napa, CA)
- …2+ years of leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations, or equivalent must be completed within… more
- Wells Fargo (Charleston, SC)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) ... will be accepted. This will be communicated at time of offer acceptance + FINRA Series 65 or 66 examinations or equivalent must be completed within either a 90… more
- Wells Fargo (Walnut Creek, CA)
- …4+ years of management experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations or equivalent must be completed within… more
- Wells Fargo (Cary, NC)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or ... Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA recognized… more
- Principal Financial Group (Des Moines, IA)
- …more than 140 years! **Who You Are** + Bachelor's degree or equivalent experience + Holds active FINRA Series 7 , 24 & 66 + Excellent knowledge of state and ... Help You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series 53 & 4 + Prior FINRA CAT experience helpful **Salary Range… more
- Wells Fargo (Denver, CO)
- …military experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... 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)
- …+ 2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 66 (or 63 and 65) ... examinations (or FINRA recognized equivalents) sufficient to qualify for immediate ...FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Strong client service skills… more
- Wells Fargo (Bellevue, WA)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Experience partnering with business, compliance… more
- JPMorgan Chase (Plano, TX)
- …industry + Licenses required to perform all job duties associated with the role: FINRA Series 7 , 66 (63/65), 9/10 (4,24,53), appropriate State Life ... & Health Insurance license + Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10… more
- Vanguard (Scottsdale, AZ)
- …+ Fully paid training, coaching, and continuous support needed to pass the SIE and FINRA Series 7 & 63 + Acumen building on our products and services to ... not required ). + Ability to successfully pass the Series 7 and Series 63...equivalent licenses) within the time frame described in Vanguard's FINRA Licensing Policy by utilizing resources and support provided… more
- Wells Fargo (Grand Rapids, MI)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Experience partnering with business, compliance… more
- Wells Fargo (Deerfield, IL)
- …training, 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 recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired qualifications:** + Brokerage client support experience… more