- Truist (Charlotte, NC)
- …with the Compliance Risk Management Policy and Framework. **Ideal candidate will already have: FINRA Registrations 7 , 24 and 66 or equivalent, and applicable ... (ABA) Compliance School or CRCM certification 5. Knowledge of Capital Markets 6. FINRA Registrations 7 , 24 and 66 or equivalent 7 . Applicable Life,… more
- Vanguard (Charlotte, NC)
- …a regulatory license and/or registration (eg FINRA , NASAA). The SIE, Series 7 , and Series 66 are required to be obtained within department guidelines. ... this position, and you do not have the necessary FINRA licenses for the role, then you must obtain... in any capacity, prior to moving into this licensed role, you will be asked to provide authorization… more
- Thrivent Financial (Charlotte, NC)
- …obtain your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor onboarding ... Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses ( licensed ...of FINRA SIE, life and health licenses ( licensed role only) before contracting. + Satisfactory background check,… more