- Vanguard (MO)
- Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a Client Service Excellence Center associate! About this Job: At ... Missouri. Licensing Requirement: To be considered for this role, you must hold active FINRA Series 7 and Series 63 licenses. If you do not currently have… more
- Truist (Atlanta, GA)
- …software products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7 , and 66 licenses ( Series ... review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit… more
- PNC (Cleveland, OH)
- …service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** 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 preferred. **Pay Transparency** Base Salary: $0.00 - $0.00… more
- Truist (New York, NY)
- …Qualifications:** + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
- Wells Fargo (Davidson, NC)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... only: Obtaining and/ormaintainingappropriate FINRAlicense(s) isrequiredfor ongoing employment in this position. FINRA Series 9 and 10 examinations and FINRA… more
- Wells Fargo (Roseville, CA)
- …of the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 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 (Melville, NY)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... skills + Strong verbal, written, and interpersonal communication skills + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or … more
- Wells Fargo (St. Louis, MO)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 63 examinations (or ... (or FINRA recognized equivalents) **Job Expectations:** + US Only: Registration for FINRA Series 65 or 66 must be completed within a 90 or 180-day time… more
- Wells Fargo (Louisville, KY)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within either a… more
- Wells Fargo (Charlotte, NC)
- …Successfully completed + Successfully completed Securities Industry Essentials (SIE) exam + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams ... Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must… more
- Wells Fargo (Grants Pass, OR)
- …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
- Wells Fargo (Charlotte, NC)
- …timely decisions in a fast-paced and results-driven environment. **Job Expectations:** + Registration for FINRA Series 7 must be completed within 180 days of ... transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 180 days of hire date if it is… more
- Vanguard (Malvern, PA)
- …preferred. + Undergraduate degree or equivalent combination of training and experience. + Active SIE and FINRA Series 7 license, and either the Series 66 ... training and development programs to equip you with the tools to take the FINRA Series 7 and 66. + A $1,500 taxable annual FlexFund stipend that allows you… more
- Wells Fargo (Charlotte, NC)
- …affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... military experience, education. + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or FINRA… more
- Wells Fargo (Beverly Hills, CA)
- …equivalents) **Job Expectations:** + Ability to travel to throughout West Coast Markets regularly + FINRA Series 7 and 66 examinations, or equivalent must be ... field. + Advanced certifications in lending, credit analysis, or private banking. + FINRA registration including Series 7 and 66 (or FINRA recognized… more
- Wells Fargo (St. Louis, MO)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 63 examinations (or ... registration + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 66 examination (or FINRA recognized equivalents)… more
- Wells Fargo (Charlotte, NC)
- …for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 7 must be completed within 90 days of hire date ... upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if… more
- Santander US (Boston, MA)
- …and conflict resolution skills. Certifications: * FINRA (Financial Industry Regulatory Authority) FINRA Series 7 , 24, 66 (or equivalent, 63 and 65), ... Series 24 - Required. * FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4, and state insurance licenses - Preferred. **It Would Be… more
- Wells Fargo (San Diego, 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 (Garden City, NY)
- …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:** + 2+ years of financial services industry… more