- PNC (PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Investments, you may be based in a remote ... this position. **Job Description** + Bi-Lingual Spanish preferred. + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory… more
- ManpowerGroup (New York, NY)
- …client, a leading organization in the financial services industry, is seeking a FINRA Analytics Business Analyst to join their team. The ideal candidate will have ... which will align successfully in the organization. **Job Title:** FINRA Analytics BA **Location:** New York, NY or Charlotte,...Proficiency in Fidessa (order management system) + Knowledge of FINRA CAT reporter portal + Experience with FIS USER… more
- Truist (Charlotte, NC)
- …review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit ... stakeholders to support The Business Unit Risk Advisor Specialist II- FINRA is a role within the Investment Banking and Capital Markets (IBCM) Business Unit Risk… more
- ADP (Dallas, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities...degree preferred, or equivalent of experience and education + FINRA Series 6 and 63 securities licenses and Securities… more
- KeyBank (Denver, CO)
- …of experience in brokerage or financial services (required) **Licenses and Certifications** + FINRA License S7 within 120 Days (required) + FINRA License S63 ... within 120 Days (required) **Tactical Skills** + Working knowledge of investment products. + Demonstrated excellent organizational skills and a strong attention to detail. + Strong written and verbal communication. + Excellent computer skills: Word, Excel,… more
- ADP (CA)
- …+ Responsible for soliciting rollover assets from meeting participants. + Maintain FINRA licensing requirements and continuing education. Need to maintain a high ... junior associates. + Performs other related duties as assigned. **QUALIFICATIONS REQUIRED:** + FINRA Licenses 6 and 63 + 3-5 Years of directly related experience +… more
- First National Bank of Omaha (Minneapolis, MN)
- …years of relevant investment banking, capital markets, or private equity experience + FINRA SIE, 7, 63 and Series 79 License (or equivalent registrations) or ... **Registration Requirement:** This position requires Financial Industry Regulatory Authority ( FINRA ) registration. Qualification requirements include meeting applicable financial industry… more
- Truist (New York, NY)
- …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor rules and ... regulations, order management systems, transaction execution workflows from input through settlement. + Strong knowledge of trade reporting and pre and post trade controls with ability to point out gaps in the control environment and create new actionable… more
- TEKsystems (Fort Worth, TX)
- …The Brokerage Operations Associate is responsible for servicing Advisors and clients through the processing and support of the company. The Associate is responsible ... for capturing data, inputting transactions, evaluating information, identifying inconsistencies / inaccuracies, formulating resolutions, processing in-good-order business, maintaining daily statistics, and communicating with advisors and office staff. The… more
- ADP (Louisville, KY)
- …+ Serve as a subject matter expert in handling routine client requests for ADP clients + Resolve routine customer concerns with pre-defined solutions + Answer ... non-technical questions regarding ADP products + Provide consultation and help answer non-technical questions supporting less-experienced specialists on the team + Learn and navigate ADP systems in order to respond to issues **QUALIFICATIONS REQUIRED:** + At… more
- Wells Fargo (Charlotte, NC)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... + Ability to gather, organize, and interpret data + FINRA registration including Series 66 (or FINRA ...+ FINRA registration including Series 66 (or FINRA recognized equivalents) + FINRA registration including… more
- Wells Fargo (Charlotte, NC)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or FINRA recognized ... assurance for all new hires on the team + FINRA registration including Series 66 (or FINRA ...+ FINRA registration including Series 66 (or FINRA recognized equivalents) **Job Expectations:** + US Only: Registration… more
- Wells Fargo (Orlando, FL)
- …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 immediate registration (or … more
- Wells Fargo (Charlotte, NC)
- …advisors) to ensure their compliance with Financial Industry Regulatory Authority ( FINRA ) and Securities and Exchange Commission (SEC) rules and regulations, as ... + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or ...FINRA ) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- TD Bank (Marlton, NJ)
- …Business:** TD Wealth **Job Description:** The Supervision Controls Specialist is a FINRA and SEC regulatory supervisory principal role assisting in the regulatory ... equivalent experience required + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA Series 9/10) +… more
- Wells Fargo (Los Angeles, CA)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... if necessary + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must… more
- Wells Fargo (Burlington, VT)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 1+ years of leadership experience +… more
- Wells Fargo (Charlotte, NC)
- …following: work experience, training, military experience, 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 immediate registration (or… more
- Wells Fargo (Charlotte, NC)
- …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 immediate registration (or … more
- Wells Fargo (Charlotte, NC)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 9/10 examinations (or FINRA recognized ... + Ability to gather, organize, and interpret data + FINRA registration including Series 66 (or FINRA ...+ FINRA registration including Series 66 (or FINRA recognized equivalents) **Job Expectations:** + US Only: Registration… more