- PNC (PA)
- …position may not be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65). Series 24 (9/10). + ... service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63/65), 24 (or… more
- Truist (New York, NY)
- …Qualifications:** + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of ... 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
- DXC Technology (Tulsa, OK)
- …+ **Customer service experience in financial services, insurance, investments, or banking.** + **Active FINRA Series 6 or 7 certification** (or U5 status ... processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support,… more
- Wells Fargo (San Diego, CA)
- …+ 2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10 and 63 exams or 7 , ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations, or equivalent must be completed within either a… more
- PNC (Pittsburgh, PA)
- …be located at the Tower at PNC Plaza. **Job Description** + Licensing requirements: Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA ... Series 99 required. PNCI Product - FINRA Series 7 required. In addition, a combination of the following licenses will be required based on the incumbents… more
- TD Bank (Greenville, SC)
- …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 ... to obtain within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA Series 63 (Preferred) +… more
- TD Bank (Marlton, NJ)
- …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 ... Life & Health Insurance License (Required or ability to obtain within scheduled time) + FINRA Series 65 or 66 (Preferred) + FINRA Series 63 (Preferred) +… more
- Wells Fargo (San Diego, CA)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within either a… more
- Wells Fargo (Charlotte, NC)
- …of the following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 examinations or equivalent must be completed within either a 90 or… more
- Wells Fargo (Wayne, PA)
- …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... also meet ongoing regulatory requirements including additional screening, if necessary + FINRA Series 9/10 and 65 (or 66) examinations or equivalent must be… more
- Wells Fargo (Chicago, IL)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations, or equivalent must be ... + Knowledge of traditional banking products + Credit risk experience + FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)… more
- 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 ... military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or FINRA… more
- Wells Fargo (Doylestown, PA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA ... compliance or broker-dealer governance **Job Expectations:** + US only: Registration for FINRA Series 9/10 must be completed within a 90-day or 180-day time… more
- Wells Fargo (Boston, MA)
- …military experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 63 examinations (or ... registration + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 66 examination (or FINRA recognized equivalents)… more
- Wells Fargo (Lakewood, WA)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or ... Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA recognized… 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) ... related to US Securities and financial markets (OCC, SEC, FINRA , and State Securities Regulators) + Expert human relations...management skills **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Wells Fargo (Dallas, TX)
- …2 days a week between Dallas and Houston TX and occasionally Tulsa, OK. + Registration for FINRA Series 7 must be completed within 90 days of hire date if ... transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is… more
- Wells Fargo (Fort Lauderdale, FL)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 2+ years of financial services industry… more
- Wells Fargo (Seal Beach, CA)
- …+ 2+ years 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 recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Strong client service skills… more
- Wells Fargo (Birmingham, MI)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 2+ years of financial services industry… more