- Truist (Winston Salem, NC)
- …equivalent education and related training. + FINRA Series 4, 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53, Series 63 & 65 can be ... basic computer applications, such as Microsoft Office software products. 9 . Ability to travel, occasionally overnight. **Preferred Qualifications:** +...used in lieu of Series 66). Life/Health and Variable Insurance Licensing are strongly… more
- Bank of America (Pasadena, CA)
- …+ 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 (San Jose, CA)
- … Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses,and ... Series 3 or 31 license (If warranted). . SIE strongly preferred . If Unlicensed, must successfully pass the AP Reasoning Exam . Minimum 3-5 years of financial services experience preferred . Ability to manage risk, make sound decisions with a strong… more
- Bank of America (Bala Cynwyd, PA)
- …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 (Miami, FL)
- …+ 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
- Citigroup (San Antonio, TX)
- …+ Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education** **:** Bachelor's/University ... degree or equivalent experience; Masters degree a plus **Responsibilities:** + Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes + Build partnerships with supported Line of Business operations, Registered… more
- Bank of America (Pepper Pike, 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 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 (Grand Rapids, 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 + ... 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 (Dearborn, 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 + ... 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
- Citigroup (San Antonio, TX)
- …+ Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education:** + Bachelor's/University ... degree or equivalent experience, potentially Masters degree **Job Family Group:** Risk Management **Job Family:** Business Risk & Control **Time Type:** **Primary Location:** San Antonio Texas United States **Primary Location Full Time Salary Range:**… more
- Wells Fargo (Greenville, SC)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Ability ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… more
- Bank of America (Los Angeles, CA)
- …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
- HSBC (New York, NY)
- …of 7-10 years proven Private Banking supervisory or related investment supervisory experience requiredSIE, Series 7, Series 9 , Series 10, Series ... 24 (preferred), Series 66 (or Series 63 and Series 65) + Experience supervising Registered Investment Advisors, and RIA products + Familiarity with FINRA,… more
- HSBC (San Francisco, CA)
- …of 7-10 years proven Private Banking supervisory or related investment supervisory experience required + SIE, Series 7, Series 9 , Series 10, Series ... 24 (preferred), Series 66 (or Series 63 and Series 65) + Experience supervising Registered Investment Advisors, and RIA products + Familiarity with FINRA,… more
- Wells Fargo (San Diego County, CA)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Strong ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.FINRA… more
- Morgan Stanley (Newport News, VA)
- …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 (Pepper Pike, OH)
- …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 (Cincinnati, OH)
- …* 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 (Lutherville, MD)
- …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 (Aventura, FL)
- …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
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