- DXC Technology (Tulsa, OK)
- …enhancing customer experience transformation **Registered Representative - Analyst I- FINRA Required** **Essential Job Functions-** . Provides service via inbound ... for general service teams and enhanced QA review required for FINRA registered associates performing transactions on products with Variable investment feature… 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
- 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
- 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
- ADP (Florham Park, NJ)
- …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
- Truist (Charlotte, NC)
- …**Preferred Qualifications:** + Master's degree in finance or equivalent science/academic field. + FINRA Series 79, 24 (may be required once on boarded if not ... already obtained) The annual base salary for this position is $150,000 - $205,000. **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20… more
- ADP (Allentown, PA)
- …Position, Jobs, Work **Unlock Your Career Potential: Customer Service at ADP.** It's all about enabling our customers to be more effective employers. Our Customer ... Service team makes it happen by collaborating with customers and other ADP colleagues to ensure our products and services deliver winning results. Did you know that the vast majority of our customers are not only satisfied, they'd recommend ADP to someone… more
- Wells Fargo (New York, NY)
- …to meet business objectives and strategy 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
- TD Bank (Greenville, SC)
- …and Firm policies related to all business activities. (eg OCC, SEC, FINRA etc.) + Ensures all Continuing Education requirements are attained + Responsible ... + Criminal and financial background investigation is required pursuant to FINRA Rule 3110(e) and successor regulations and financial background investigation is… more
- Wells Fargo (Summit, NJ)
- …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 (Bellevue, WA)
- …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)
- …military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA recognized ... of branch associates and business units; including managers and advisors + FINRA registration including Series 9/10 (or FINRA recognized equivalents) **Job… more
- Wells Fargo (Alexandria, VA)
- …years of management experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or FINRA recognized ... for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 65 (or FINRA ...+ FINRA registration including Series 65 (or FINRA recognized equivalents) + FINRA registration including… more
- Wells Fargo (New York, NY)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... governance **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance… more
- Wells Fargo (Greensboro, NC)
- …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 (San Diego County, CA)
- …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 66 examinations (or ...FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Wilmington, NC)
- …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)
- …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
- Wells Fargo (Naperville, IL)
- …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 (Seattle, WA)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... **Job Expectations:** + 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 66 (or 63 and 65) examinations or… more
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