- PNC (Pittsburgh, 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 ... in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). FINRA Series 24...+ Licensing requirements: FINRA Series 7/66 (63/65). FINRA Series 24 (9/10 equivalent). + Partners with regulatory… more
- DXC Technology (Tulsa, OK)
- …for general service teams and enhanced QA review required for FINRA registered associates performing transactions on products with Variable investment feature ... ( FINRA governed) as needed/assigned. **Basic Qualifications** + High school diploma or GED + Two or more years of customer service or other telephone… more
- DXC Technology (Tulsa, OK)
- …processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support, ... Quality Assurance (QA) support, including enhanced QA reviews for FINRA -registered associates handling variable investment transactions. **Qualifications** **Required:** +… more
- ADP (Louisville, KY)
- …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
- Aegon Asset Management (Cedar Rapids, IA)
- …Group (WFG). The candidate should possess and apply broad knowledge of FINRA , SEC, and other applicable regulators' concepts and principles; work with minimal ... A general knowledge of insurance and securities laws, regulations, rules, etc. + FINRA licensing (Series 7 & 24 required). + Exemplary written and verbal… more
- Aegon Asset Management (Cedar Rapids, IA)
- …Group (WFG). The ideal candidate should possess and apply broad knowledge of FINRA , SEC, and other applicable regulators' concepts and principles, work with minimal ... A general knowledge of insurance and securities laws, regulations, rules, etc. + FINRA licensing (Series 7 & 24 required). + Exemplary written and verbal… more
- Zions Bancorporation (Denver, CO)
- …quality. + Intermediate computer skills including word processing and spreadsheet software. + FINRA Series 79 (or grandfathered Series 7), Series 63 will be required ... but not limited to, level of experience, skills, expertise, location, education, FINRA licenses, and certifications. Benefits: + Medical & Dental Insurance &… more
- Truist (Richmond, VA)
- …+ Master's degree in finance or business, or equivalent education and related training. + ** FINRA Series 4, 7, 24, 53, and 66 licenses (Series 9 &10 can be used ... industry rules, regulations, and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong knowledge in field of… more
- Truist (Richmond, VA)
- …experience. + Audit experience. + Strong knowledge 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 contingent workers) working 20 hours or more per week are… more
- ADP (El Paso, TX)
- …REQUIRED:** + 1 year experience in a client service call center environment required. + FINRA 6 & 63 required A college degree is great but not required. What is ... more important is having the skills to do the job. Other acceptable experiences could include: * Experience noted above, OR * Military Experience. We recognize and appreciate the unique talents and experiences Veterans bring to the table. We value the… more
- ADP (Florham Park, NJ)
- …+ 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 (New York, NY)
- …generation of cross-sector research content This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that...Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of… more
- Wells Fargo (Farmington Hills, MI)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... the time + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
- Wells Fargo (Westerville, OH)
- …of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10 and 63 exams or 7, 9/10 and 66 examinations ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 65… more
- Wells Fargo (Los Angeles, CA)
- …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:** + Series 9/10 or equivalent + 1+ years of… more
- Wells Fargo (Birmingham, AL)
- …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 + Familiarity… more
- Wells Fargo (Overland Park, KS)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... the time + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
- Wells Fargo (St. Louis, MO)
- …following work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 (or FINRA recognized ... equivalents) + FINRA registration including Series 63 (or FINRA recognized equivalents) + FINRA registration including Series 52 (or FINRA recognized… more
- Wells Fargo (Salt Lake City, UT)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... adaptability are important + Outstanding problem solving and decision-making skills + FINRA registration including Series 66 (or FINRA recognized equivalents)… more
- Wells Fargo (Boston, MA)
- …the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws ... + 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
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