• FINRA Supervisory Principal - PNC…

    PNC (PA)
    …not be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65). Series 24 (9/10). + Partners with ... service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63/65), 24 (or 9/10)… more
    PNC (07/25/25)
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  • Associate II, ECM - Investment Banking…

    First National Bank of Omaha (Minneapolis, MN)
    …2-3 years of relevant investment banking, capital markets, or private equity experience. + FINRA SIE, 7 , 63 and Series 79 License (or equivalent registrations) ... **Registration Requirement:** This position requires Financial Industry Regulatory Authority ( FINRA ) registration. Qualification requirements include meeting applicable financial industry… more
    First National Bank of Omaha (07/26/25)
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  • Senior Risk Advisory Manager Public Finance…

    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 ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
    Truist (07/19/25)
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  • Sr Analyst III Business Transactions Customer…

    DXC Technology (Tulsa, OK)
    …**Customer service experience in financial services, insurance, investments, or banking.** + **Active FINRA Series 6 or 7 certification** (or U5 status within ... processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support,… more
    DXC Technology (05/27/25)
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  • Central Supervision Analyst

    TD Bank (Greenville, SC)
    …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...+ State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA more
    TD Bank (07/31/25)
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  • Principle Review Analyst

    TD Bank (Marlton, NJ)
    …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or ... of Business:** TD Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of… more
    TD Bank (07/22/25)
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  • Associate Product Manager - Packaged Investment…

    Wells Fargo (St. Louis, MO)
    …industry experience is ideal + Demonstrated knowledge of Packaged Investment Products + FINRA registration including Series 7 (or FINRA recognized ... equivalents) + FINRA registration including Series 63 (or FINRA recognized equivalents) + Demonstrated professional written and verbal communication skills +… more
    Wells Fargo (07/26/25)
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  • Internal Wholesaler Trainee (Start dates…

    Jackson National Life Insurance Company (Nashville, TN)
    …required.** **Experience working in a professional office environment preferred.** ** FINRA SIE, FINRA Series 6 or 7 , FINRA Series 63, State Insurance ... 6, 63 and State Life Insurance License registration within 90 days. Additional FINRA licensing may be required. + Completes assigned projects in a timely manner.… more
    Jackson National Life Insurance Company (07/15/25)
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  • Sales Manager - Individual Solutions

    Principal Financial Group (Des Moines, IA)
    …years of experience on a sales or service team marketing products and services + FINRA Series 7 , FINRA Series 63, or equivalent registrations required ... immediately upon employment + FINRA Series 65 or 66 Licenses or ability to...the applicable deadline. **Original Posting Date** 6/4/2025 **Most Recently Posted Date** 7 /30/2025 LinkedIn Remote Hashtag \#LI-Remote LinkedIn Hashtag… more
    Principal Financial Group (07/31/25)
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  • Trading Enablement Assistant

    Wells Fargo (Salt Lake City, UT)
    …affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 ... training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or … more
    Wells Fargo (07/26/25)
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  • Associate Bank Financial Advisor

    Wells Fargo (Lakewood, WA)
    …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA ... ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must be completed… more
    Wells Fargo (08/01/25)
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  • Experienced Financial Planning Assistant

    Hantz Group (Saginaw, MI)
    …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... organizational skills + Basic database skills + Proficient in Microsoft Office + Series 7 Licensed Preferred + Must be Able to Obtain Required Licenses* Benefits: +… more
    Hantz Group (07/10/25)
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  • Senior Custom Credit Banker - Senior Lead Wealth…

    Wells Fargo (Chicago, IL)
    …management skills + Knowledge of traditional banking products + Credit risk experience + FINRA registration including Series 7 and 66 (or FINRA recognized ... ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations, or equivalent must be completed within either a… more
    Wells Fargo (07/31/25)
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  • Regional Vice President - BWA E - VA, WV

    Jackson National Life Insurance Company (Nashville, TN)
    …or investment external wholesaling experience is preferred.** **Securities Industry Essentials (SIE) required.** ** FINRA Series 6 or 7 , FINRA Series 63, ... Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA . Jackson companies offer an outstanding benefits package including competitive pay,… more
    Jackson National Life Insurance Company (08/01/25)
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  • Financial Planning Assistant

    Hantz Group (Ann Arbor, MI)
    …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis. The Company does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national… more
    Hantz Group (07/23/25)
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  • Financial Advisor

    Hantz Group (Midland, MI)
    …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis. The Company does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national… more
    Hantz Group (07/15/25)
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  • Hybrid Product Wholesaler

    Jackson National Life Insurance Company (Nashville, TN)
    …insurance or investment wholesaling experience preferred.** **Securities Industry Essentials (SIE) required.** ** FINRA Series 6 or 7 , FINRA Series 63, ... Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA . Jackson companies offer an outstanding benefits package including competitive pay,… more
    Jackson National Life Insurance Company (07/03/25)
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  • RIA Internal Consultant Associate

    Jackson National Life Insurance Company (Nashville, TN)
    …Annuity Wholesaler training program (10-12 weeks) required.** **Securities Industry Essentials (SIE) required.** ** FINRA Series 6 or 7 , FINRA Series 63, ... Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA . Jackson companies offer an outstanding benefits package including competitive pay,… more
    Jackson National Life Insurance Company (05/24/25)
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  • Retirement Planning Consultant - Augusta, GA

    Aegon Asset Management (GA)
    …organization. Qualifications: + Bachelor's degree in a related field or equivalent business experience. + FINRA Series 6 or 7 . + FINRA Series 63 or obtain ... Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It's part of Aegon, an integrated,...companies employ over 2 1,500 people and have approximately 31. 7 million customers . * For more information, visit… more
    Aegon Asset Management (05/29/25)
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  • Director, US Equity Derivatives

    Scotiabank (New York, NY)
    …calibration, facilitating mass pricing of exotic structures. FINRA Series 3 required. FINRA Series 7 required. FINRA Series 55 required. The offered ... salary is between $293,000-$300,000 per year. 40 hours per week. QUALIFIED APPLICANTS:Please apply directly through our websitehttps://www.scotiabank.com/careers by searching for Director, US Equity Derivatives & indicate job codeLM032825WEB. Location(s):… more
    Scotiabank (07/23/25)
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