- PNC (PA)
- … FINRA Series 7, 66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review. State insurance license ... be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with… more
- City National Bank (New York, NY)
- …* Demonstrated use of effective sales and communication skills. * Registered Representative with a FINRA Series 4 , 53, and Series 57 preferred. *WHAT'S ... and securities market. * Minimum of 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA Series 24:… more
- Truist (Richmond, VA)
- …Bachelor's degree in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66… more
- Truist (Charlotte, NC)
- …or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in… more
- Citizens (Johnston, RI)
- …Mainframe, etc. + Completed high school degree or GED equivalent. Preferred Qualifications + FINRA Series 4 and 24 + Past experience with National ... for continuous process improvement and organizational effectiveness. Required Qualifications + FINRA Series 7 and 63/66 Licenses + 3+ years of previous… more
- Citizens (Johnston, RI)
- …Salesforce, Wealthscape) + Completed high school degree or GED equivalent. + Preferred Qualifications + FINRA license - Series 4 , 65 and/or 66 + 3+ years ... Qualifications, Education, Certifications, and/or Other Professional Credentials + Required Qualifications + FINRA licenses - Series 7; 63; 9 & 10 OR 24 & 53 +… more
- Truist (Tampa, FL)
- …4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… 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 ... to the assigned business unit regarding its control environment. 4 . Support the business in the development of Key...or related field. 3. 6+ years of leadership experience. 4 . Subject matter expertise in assigned/specified line of business.… more
- Truist (Charlotte, NC)
- …at medium to large financial institution 3. Experience in complaint resolution and exam management 4 . FINRA licensed- Series 7 & 24 **General Description of ... NC * Richmond, VA Candidates must be in office 4 days per week. No full remote, No relocation...and emerging risk scenarios within business units and/or functions. 4 . Develop Risk Committee materials, including evaluation of program… more
- Scotiabank (New York, NY)
- …upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 4 + years of experience in structured sales ... + Proven track record of established relationships with private banks, broker dealers, RIA's, and asset managers in the US **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for… more
- Wells Fargo (San Diego, CA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations, or equivalent must be completed within ... number of license(s) needed if not immediately available to transfer upon hire. Registration for FINRA Series 99 must be completed within 120 days of hire date… more
- Wells Fargo (Atlanta, GA)
- …Saturdays + Adherence to Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA recognized ... be required + For the following states where hired, FINRA Series 65 (or equivalent) examination will...is not eligible for Visa sponsorship **Posting End Date:** 4 Aug 2025 **_*Job posting may come down early… more
- Wells Fargo (Cumming, GA)
- …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series … 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 ... license(s) is required for ongoing employment in this position. FINRA Series 9/10 examinations or equivalent must...for dependent children + Adoption reimbursement **Posting End Date:** 4 Aug 2025 **_Job posting may come down early… more
- Wells Fargo (San Diego, CA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within ... practices and coach on operational risk **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...+ US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7… more
- Wells Fargo (Boston, MA)
- …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or FINRA ... registration + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 66 examination (or FINRA recognized equivalents)… more
- TD Bank (New York, NY)
- …+ 15+ years Must have extensive Wealth Management leadership experience with a proven track record + FINRA Series 7, 24 (or equivalent - Series 9, 10) and 65 ... approach; Integrates Wealth with RSSG **Education & Experience:** + 4 year degree and progressive work experience. + MBA...related to US Securities and financial markets (OCC, SEC, FINRA , and State Securities Regulators) + Expert human relations… more
- Wells Fargo (Seal Beach, CA)
- …years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 66 (or 63 and 65) ... adherence to the policies and procedures **Required Qualifications:** + 4 + years of Supervisory Control, Risk Management Consulting, Property...examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Ridgeland, MS)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA ... the time + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...1020 Highland Colony Pkwy Ridgeland, MS **Posting End Date:** 4 Aug 2025 **_*Job posting may come down early… more
- US Bank (New York, NY)
- …regression techniques (linear, logistic), parametric and non-parametric algorithms, times series techniques (ARIMA, GARCH), and other statistical models, various ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more