- 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 ... be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk… 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 (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
- PNC (Charlotte, NC)
- …the company's success. As a Capital Markets Associate - Derivative Products Group ( FINRA ) within PNC's Capital Markets organization, you will be based in Charlotte, ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… 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
- ADP (El Paso, TX)
- …+ 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
- TD Bank (Greenville, SC)
- …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of ... experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA Series 9/10) (Required… more
- Wells Fargo (Fort Lauderdale, FL)
- …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 (Charlotte, NC)
- …the following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for ... immediate registration (or FINRA recognized equivalents) **Desired Qualifications:** + Conflict management and...+ Strong attention to detail and accuracy skills + FINRA registration including Series 9/10 (or FINRA … more
- Wells Fargo (San Diego, 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 (New York, NY)
- …and oral communication skills **Job Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of hire date if it is not ... available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180 days of… more
- Wells Fargo (Doylestown, PA)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA recognized ... broker-dealer governance **Job Expectations:** + US only: Registration for FINRA Series 9/10 must be completed within a 90-day...needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. + US only:… more
- Wells Fargo (Seal Beach, CA)
- …of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Strong client service skills + Strong… 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
- Wells Fargo (Birmingham, 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 (San Diego, CA)
- …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 (Minneapolis, MN)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or FINRA recognized ... associates and business units; including managers and advisors + FINRA registration including Series 65 or 66 (or ...FINRA registration including Series 65 or 66 (or FINRA recognized equivalents) **Job Expectations:** + US Only: Registration… more
- TD Bank (Marlton, NJ)
- …of Business:** TD Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of ... and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and… more
- Wells Fargo (Wayne, PA)
- …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:** + Business development experience + Leadership or… more