- Citigroup (New York, NY)
- … 65 (or Series 66); Series 9 + Series 10 (or Series 24, Series 4 , and Series 53) + Must meet ALL US FINRA Registration requirement within ... Excellent communication skills and interpersonal relationships with ability to influence. + Required: US FINRA Registration: SIE; Series 7; Series 63 + Series… more
- Truist (Richmond, VA)
- …in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series… more
- Truist (Charlotte, NC)
- …+ 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible ... individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in lieu of 53. Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the… more
- Raymond James Financial, Inc. (Southfield, MI)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the… more
- Raymond James Financial, Inc. (Southfield, MI)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the… more
- PNC (PA)
- … 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 preferred. **Benefits** ... all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk manager to… 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 IN IT ... years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA... 7 and 63 or 66 licenses * FINRA Series 24: General Securities Principal *Additional Qualifications* * Knowledge… more
- Citizens (Johnston, RI)
- …and business software programs (Excel, SharePoint, OneDrive, Salesforce) Preferred Qualifications + Series 4 + Experience with National Financial Services (NFS) ... Required Qualifications: + Licensing Requirements: Must hold active FINRA Series 7, 24, and 63 licenses. In addition, candidates...63 licenses. In addition, candidates must possess either a Series 65 or 66 license-or demonstrate the ability to… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... **Licenses/Certifications:** + The ability to obtain the SIE and Series 99 within 120 days (as required by FINRA)...qualified to register as an Operations Professional ( Series 99) without passing the examination. **Travel Required:** +… more
- Bank of America (Pennington, NJ)
- …independently + Communications, attention to detail, research/investigative knowledge **Desired Qualifications:** + Series 4 , Series 24 licenses preferred + ... and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience + Knowledge related to retail and/or… more
- JPMorgan Chase (Tampa, FL)
- …duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 ( 4 ,24,53) + A valid Series 4 is required or must be obtained within 90 days of ... supervision of $2.1 trillion and assets under management of $1. 4 trillion. JP Morgan Private Bank has been helping...supervision of $2.1 trillion and assets under management of $1. 4 trillion. With Private Bank advisors in 110 offices… more
- Bank of America (Clayton, MO)
- …+ Has supervisory licenses of an 8 (or 9 and 10 combined) or possesses a Series 4 , 24 and 53, or is able to obtain any/all required licenses within a specified ... prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Has Series 7 and 66, or is able to obtain any/all required licenses… more
- Citizens (Johnston, RI)
- …etc. + Completed high school degree or GED equivalent. Preferred Qualifications + FINRA Series 4 and 24 + Past experience with National Financial Services (NFS) ... for continuous process improvement and organizational effectiveness. Required Qualifications + FINRA Series 7 and 63/66 Licenses + 3+ years of previous experience… more
- Citizens (Johnston, RI)
- …+ Completed high school degree or GED equivalent. + Preferred Qualifications + FINRA license - Series 4 , 65 and/or 66 + 3+ years of compliance supervision + Past ... Education, Certifications, and/or Other Professional Credentials + Required Qualifications + FINRA licenses - Series 7; 63; 9 & 10 OR 24 & 53 + 3+ years prior… more
- Insight Global (Tampa, FL)
- …personality with the ability to maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4 registrations null We are a company committed to ... and Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 registrations -- must be currently active -Bachelor's degree or… more
- Citigroup (Jacksonville, FL)
- …Candidates willing to obtain missing licenses within 120 days are also encouraged to apply. Series 24, 4 in lieu of 9/10. + Strong teamwork orientation. + ... Markets and the financial industry. + Cross-disciplinary knowledge of compliance, operations, trading + **Required Licenses:** Series 7, 9/10, 31, 63 & 65 (or 66).… more
- Bank of America (Wayzata, MN)
- …coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or ( 4 , 24, 53 combination).If Series 9 & 10 not currently held, must be obtained ... within 120 days. + Travel required: Will vary depending on geography **Shift:** 1st shift (United States of America) **Hours Per Week:** 40 Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race,… more
- Hospice Of San Joaquin (Stockton, CA)
- …PRE-EMPLOYMENT REQUIREMENTS 1. Health Screening 2. TB Screening 3. Hepatitis B Series offered 4 . Background Check 5. Reference Check 6. Immunizations ... Palliative/Transitions Care, Hospice Care, Education, Patient Access, and Hospice House. 4 . Oversee Clinical Directors in the planning and implementation of… more
- Hospice Of San Joaquin (Stockton, CA)
- …insurance. PRE-EMPLOYMENT REQUIREMENTS: 1. Health Screening 2. TB Screening 3. Hepatitis B Series offered 4 . Background Check 5. Reference Check 6. Drug ... changes to policies and procedures as directed by CCO 4 . In collaboration with all Team Leads, arranges for...more of home care or Hospice experience is preferred. 4 . Supervisory experience 5. Ability to set priorities, organize… more