- Scotia Capital (USA), Inc. (New York, NY)
- …role requirements, expected candidate experience, and accompanying qualifications. $225,000/yr & 40 hrs/wk. FINRA SIE req'd. FINRA Series 7 req'd. FINRA ... timely manner. Req'mts: Master's or foreign equiv in Fin'l Eng'g or rel. field & 4 yrs of exp in job offered or rel. occupation: working w/Equity Derivatives & risks… more
- PNC (Pittsburgh, PA)
- … FINRA Series 7, 66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review. State insurance license ... valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Wealth Management, you may be based in a remote… more
- Truist (Charlotte, NC)
- …of regulatory experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66… more
- Truist (Richmond, VA)
- …or Business. + 7 or more years of regulatory, compliance or supervisory experience + 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 in… more
- Equitable (TN)
- …leadership roles **Preferred Qualifications** * CLU, ChFC and/or CFP a big plus * FINRA Series 4 registration is encouraged * Ability to make sound business ... proximity to the branch and work in the office 4 days per week - this is not a...401(k) plan. **Qualifications** **Required Qualifications** * Bachelor's degree * FINRA Series 7, 24, 53, and 66… more
- PNC (Cleveland, OH)
- …requires FINRA Series 7, 24, 63 and 65 (or 66) required. Additional FINRA Series 4 and 53 required for trade review. **Pay Transparency** Base ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Vanguard (Malvern, PA)
- …safekeeping, clearance and settlements, and the rules and regulations that govern them. + FINRA Series 4 , 7, 63, 24. May be asked to take Series ... expertise. This includes representing Vanguard's broker-dealer to regulators (eg, FINRA , OCC) and overseeing numerous vendor and counterparty relationships.… more
- Citizens (Johnston, RI)
- …Salesforce, Wealthscape) + Completed high school degree or GED equivalent. + Preferred Qualifications + FINRA license - Series 4 , 53, 65 and/or 66 + 3+ ... Certifications, and/or Other Professional Credentials + Required Qualifications + FINRA Licensures: Series 7 & either ...100% in office until fully trained then potential hybrid 4 days in office 1 day work from home… more
- Santander US (Boston, MA)
- …for Series 24 - Required. * FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4 , and state insurance licenses - Preferred. **It ... conflict resolution skills. Certifications: * FINRA (Financial Industry Regulatory Authority) FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9… more
- Coinbase (Hartford, CT)
- …in Banking, Wealth Management, Corporate Finance, Asset Management, FinTech or Crypto. Nice to haves: * FINRA License Series 3, 4 , 65, or 66. * High level of ... products. What we look for in you (ie. job requirements): * FINRA License series 7 and 63 * FINRA License 24 OR 9 AND 10 * Experienced and passionate people… more
- Coinbase (Columbia, SC)
- …an eagerness to create a community of high value Coinbase power users. *Nice to haves:* * FINRA License Series 3, 4 , 65, or 66. * Knowledge of Cryptocurrency ... resolving customers' trading related issues. *What we look for in you:* * FINRA License series 7 & 63 (will not initially be sponsoring licenses) * Motivated by… more
- Truist (Atlanta, GA)
- …products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7, and 66 licenses ( Series 63 & ... review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit… more
- Truist (Homewood, AL)
- …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
- JPMorgan Chase (Plano, TX)
- …skills + Ability to collaborate across multiple levels of supervision + Active and valid FINRA Series 7 license + Active and valid FINRA Series ... complex client accounts + Working knowledge of US financial regulations, including FINRA rules + Proven ability to make sound, risk-based decisions independently +… more
- Scotiabank (New York, NY)
- …upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 4 + years of experience in structured sales ... + Proven track record of established relationships with private banks, broker dealers, RIA's, and asset managers in the US **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for… more
- Wells Fargo (Charlotte, NC)
- …field, demonstrated through work experience, military service, or education. + Successfully completed FINRA Series 7 Series exam to qualify for immediate ... registration (or FINRA recognized equivalents) **Desired Qualifications:** + Successfully completed FINRA Series 63 and 65 (or 66) exams to qualify for… more
- Wells Fargo (Harrisburg, NC)
- …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 (Norfolk, VA)
- …**Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or ... practices and coach on operational risk **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or… more
- Wells Fargo (Sioux Falls, SD)
- …**Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or ... appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within… more
- Wells Fargo (Irvine, CA)
- …sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + FINRA Series 9/10 examinations + 1+ years of leadership experience + ... practices and coach on operational risk **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or… more
