- Bank of America (Farmington Hills, MI)
- …Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience **Key Qualifications for the role:** + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of… more
- Bank of America (Northbrook, IL)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Albuquerque, NM)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Cincinnati, OH)
- …currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and ... Series 3, 31 licenses, if warranted + Minimum 5+ years professional experience required + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of regulatory and supervisory… more
- Bank of America (Mandeville, LA)
- …currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum 5+ years professional experience required + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth… more
- Morgan Stanley (Sandy, UT)
- …Registrations: o Series 7 o Series 66 (or 63 and 65) o Series 9 / 10 * Ability and willingness to obtain other licenses as determined by management * ... (M/F/Disability/Vet). keywords: sales, leadership, contact center, call center, financial services, Series 7, Series 9 / 10, Series 66, licensed,… more
- Bank of America (Chicago, IL)
- …to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent licenses + Minimum ... 5+ years professional experience required + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of regulatory and supervisory requirements and corporate policies and procedures +… more
- Truist (Charlotte, NC)
- …to perform the essential functions. 1. FINRA Series 7, 24, 53 and 66 licenses ( Series 9 &10 can be used in lieu of 4 and 53. Series 63&65 can be used ... regulatory, audit activities. Promote various risk initiatives and their supporting metrics. 9 . Work alongside the GCO Risk Program Execution team in executing and… more
- Truist (Richmond, VA)
- …perform the essential functions. 1 **. 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 retail brokerage and investment advisory industry rules, regulations and operations. 9 . Strong organizational skills and the ability to multi-task are also… more
- Morgan Stanley (Kirkland, WA)
- …* Four-year college degree required or equivalent education * Previous industry experience * Active Series 7 (GS), Series 9 and Series 10 (SU), ... and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) * Other licenses as required for the role or by management _*Knowledge/Skills*_ * Effective… more
- Morgan Stanley (Sandy, UT)
- …o Series 7 o Series 66 (OR Series 63 and 65) OR Series 63 o Series 9 and Series 10 . 1 year experience in team management, team lead or ... direct report experience required ** *Preferred Qualifications* . Experience in a high-volume call center Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of… more
- Morgan Stanley (Red Bank, NJ)
- …and SKILLS: Education and/or Experience * High School Diploma/Equivalency * College degree preferred * Active Series 7 (GS), Series 9 and Series 10 (SU), ... and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) * At least 2 years of industry experience required (5 years industry experience recommended) *… more
- Morgan Stanley (Indianapolis, IN)
- …others * Ability to work in a fast-paced, evolving environment * Willingness to obtain Series 9 and Series 10 (SU) for delegation of supervisory functions ... and/or Experience* * High School Diploma/Equivalency * College degree preferred * Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series … more
- Morgan Stanley (Boston, MA)
- …* Bachelor's degree required or equivalent education * Previous industry management experience * Active Series 7 (GS), Series 9 and Series 10 (SU), ... and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) * Other licenses as required for role or by management _*Knowledge/Skills*_ * Evidence of strong… more
- Truist (Charlotte, NC)
- …dealer and swap dealer entities 6. 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 ... and loan review activities. Promote various risk initiatives and their supporting metrics. 9 . Work alongside the GCO Risk Program Execution team in executing and… more
- Truist (Atlanta, GA)
- …in field of assigned business unit(s). 5. FINRA Series 7, 24, 53, and 66 licenses ( Series 9 & 10 can be used in lieu of 53. Series 63 & 65 can be ... refine and/or enhance monitoring and testing processes as necessary. 9 . Support the execution of risk management initiatives at...used in lieu of Series 66). 6. Professional designation related to risk management… more
- TIAA (Frisco, TX)
- …note, due to this role needing to build out a team, for this opportunity, a Series 24 or a Series 9 , 10 and 23 would be required at the onset of one's ... Years Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7; Series 63; Series 24 **Physical Requirements** + Physical Requirements:… more
- Insight Global (Salt Lake City, UT)
- …. Skills and Requirements * FINRA Series 7 license * FINRA Series 9 license * FINRA Series 10 license * 2+ years in financial ... services (preferably a large institution) * FINRA Series 4 license * Experience working hands on with margins, options, large funds, offshore accounts, and other… more
- Truist (Richmond, VA)
- …in field of assigned business unit(s). + 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). **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or… more
- Truist (Charlotte, NC)
- …field of assigned business unit(s). + **F** **INRA 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).** **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary… more
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