- Raymond James Financial, Inc. (Memphis, TN)
- …(FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10_SU - Gen Sec Sales Supervisor - Financial ... Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - Financial Industry Regulatory Authority...63_AG - Agent - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment… more
- Raymond James Financial, Inc. (Los Angeles, CA)
- …: * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 9 & 10 if required by ... Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10 or Series 12_BM - Branch Office Mgr - Financial… more
- Citigroup (San Antonio, TX)
- …+ Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education** **:** Bachelor's/University ... degree or equivalent experience; Masters degree a plus **Responsibilities:** + Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes + Build partnerships with supported Line of Business operations, Registered… more
- Bank of America (Fort Lauderdale, FL)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Los Angeles, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Pepper Pike, OH)
- … Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses, and ... Series 3 or 31 license (If warranted). + SIE strongly preferred + If Unlicensed, must successfully pass the AP Reasoning Exam + Minimum 3-5 years of financial services experience preferred + Ability to manage risk, make sound decisions with a strong… more
- Bank of America (Farmington Hills, MI)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Washington, DC)
- …Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience **Key Qualifications for the role:** + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of… more
- Citigroup (San Antonio, TX)
- …+ Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education:** + Bachelor's/University ... degree or equivalent experience, potentially Masters degree **Job Family Group:** Risk Management **Job Family:** Business Risk & Control **Time Type:** **Primary Location:** San Antonio Texas United States **Primary Location Full Time Salary Range:**… more
- Bank of America (San Diego, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Wells Fargo (Naperville, IL)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Ability ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within 120 days.… more
- Bank of America (Washington, DC)
- … Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + SIE ... strongly preferred + If unlicensed, must pass the AP Reasoning Assessment + Strong client service and communication skills + Minimum 3 - 5 years financial services experience preferred + Knowledge of regulatory, supervisory, and corporate policies and… more
- Wells Fargo (Seattle, WA)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Strong ... of license(s) needed if not immediately available to transfer upon hire. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… more
- Wells Fargo (Davidson, NC)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Currently ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… more
- Citigroup (Tampa, FL)
- …difference with Mexico. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9 , Series 10, ... Series 63 + Consistently demonstrates clear and concise written and verbal communication skills. + Must be able to speak English & Spanish **Education:** + Bachelor's Degree/University degree or equivalent experience This job description provides a… more
- Citigroup (San Antonio, TX)
- …+ Proficient using Microsoft PowerPoint and Excel + Required Licensing/Registration: Series 7, Series 63, Series 9 , Series 10 **Education:** + ... Bachelor's degree/University degree + Master's degree preferred **Job Family Group:** Consumer Sales **Job Family:** Consumer Sales Support **Time Type:** Full time **Primary Location:** San Antonio Texas United States **Primary Location Full Time Salary… more
- Citigroup (San Antonio, TX)
- …Cards, Mortgage, etc.) + Required current US FINRA Registration: SIE, Series 7, Series 63, Series 9 , Series 10 + Must meet ALL US FINRA Registration ... requirements within 150 days of starting in the role **Education:** + Bachelor's degree/University degree or equivalent experience This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as… more
- Citigroup (Tampa, FL)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9 , Series 10, ... Series 63 + Consistently demonstrates clear and concise written and verbal communication skills **Education:** + Bachelor's Degree/University degree or equivalent experience This job description provides a high-level review of the types of work performed.… more
- Citigroup (Getzville, NY)
- …+ Consistently demonstrated clear and concise written and verbal communication + Required Licensing/Registration: Series 7, Series 9 , Series 10, ... Series 63 **Education:** + Bachelor's degree/University degree or equivalent experience + Master's degree preferred **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time… more
- Bank of America (Wayzata, MN)
- …managing and 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… more
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