- Truist (Winston Salem, NC)
- …and related training. + 8 + years of regulatory, compliance or supervisory experience + FINRA Series 4 + Strong knowledge in field of assigned business ... 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 in… more
- Truist (Charlotte, NC)
- …Finance or Business + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 and 53 + Life Heath and Variable Insurance License ... aligned region(s). **Please note: This role is in office 4 days a week. Location is open to the...and special projects, as deemed required. **Required Qualifications:** + FINRA Series 7, 24, and 66 licenses… more
- Truist (Richmond, VA)
- …+ 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
- CIBC (New York, NY)
- …skills in order to maintain working relationships; + Excellent verbal and writing skills; + FINRA licences. Series 3, 4 , 7, 24 and 57 preferred but ... businesses; (2) taking reasonable steps to ensure compliance with all SEC, FINRA , and all other relevant SRO (eg Cboe) regulatory rule requirements through… more
- Truist (Savannah, GA)
- …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
- Truist (Raleigh, NC)
- …effectively 3. Ability to research, review facts and apply analysis in order to formulate strategies 4 . FINRA Series 99 or 7 5. Master's Degree (eg, MBA, ... associated with functional areas and provide subject matter expertise, as needed 4 . Ensure functional procedures and controls are being followed and maintained 5.… more
- Citigroup (Fort Lauderdale, FL)
- …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 (Bluffton, SC)
- …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 (Trenton, NJ)
- …Saturdays + Adherence to Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA recognized ... be required + For the following states where hired, FINRA Series 65 (or equivalent) examination will...is not eligible for Visa sponsorship **Posting End Date:** 4 Oct 2024 Job posting may come down early… more
- Wells Fargo (Indianapolis, IN)
- …**Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or ... existing Client Associates within designated markets. **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...is required for ongoing employment in this position. + FINRA Series 9/10 and 65 or 66… more
- Wells Fargo (Los Altos, CA)
- …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 (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 ... 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 (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 ...for dependent children + Adoption reimbursement **Posting End Date:** 4 Oct 2024 Job posting may come down early… more
- Wells Fargo (Houston, TX)
- …for achieving results + Strong financial modeling skills **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of ... recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within... recognized equivalents will be accepted **Posting End Date:** 4 Oct 2024 Job posting may come down early… 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
- Wells Fargo (Charlotte, NC)
- …broker-dealers, swap dealers, municipal securities dealers or futures commission merchants + FINRA registration including Series 7 or 99 (or FINRA ... and regulatory bodies on risk related topics **Required Qualifications, US:** + 4 + years of Compliance experience, or equivalent demonstrated through one or a… more
- Huntington National Bank (Columbus, OH)
- …with a basic understanding of SEC and FINRA regulations. Branch examination is a plus. + FINRA Series 7 is required. + FINRA Series 24 or the ability ... and compliance functions for the financial services industry preferred. + Series 63, 65 or 66, 53, 4 ; Life and Disability licensing is desirable. + Proficient in… more
- T. Rowe Price (Owings Mills, MD)
- …policies and procedures for multiple areas of the broker dealer through the FINRA Rule 3130 review. Identifies and recommends enhancements of the policies and ... practices and regulatory and compliance requirements. QUALIFICATIONS Required + College degree and 4 years related work experience, or + Associate degree and 6 years… more
- Truist (Pensacola, FL)
- …and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses. Candidates that have ... optional dividends and the exercise of warrants and rights. 4 . Schedule and confirm client appointments, enter data in...only the Series 66 or Series 7 will be considered and can obtain the… more
- Citigroup (San Antonio, TX)
- … 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24, 4 and 53 **Responsibilities:** + Ensure timely review of work items ... Supervisory Principal in Citi Global Wealth is a seasoned FINRA -licensed securities professional role responsible for executing day-to-day supervisory activities… more