• Senior Risk Advisory Manager Public Finance…

    Truist (Charlotte, NC)
    …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of trading floor ... 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
    Truist (07/19/25)
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  • Associate Product Manager - Packaged Investment…

    Wells Fargo (Charlotte, NC)
    …industry experience is ideal + Demonstrated knowledge of Packaged Investment Products + FINRA registration including Series 7 (or FINRA recognized ... equivalents) + FINRA registration including Series 63 (or FINRA recognized equivalents) + Demonstrated professional written and verbal communication skills +… more
    Wells Fargo (07/26/25)
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  • Sales Manager - Individual Solutions

    Principal Financial Group (Charlotte, NC)
    …years of experience on a sales or service team marketing products and services + FINRA Series 7 , FINRA Series 63, or equivalent registrations required ... immediately upon employment + FINRA Series 65 or 66 Licenses or ability to...the applicable deadline. **Original Posting Date** 6/4/2025 **Most Recently Posted Date** 7 /30/2025 LinkedIn Remote Hashtag \#LI-Remote LinkedIn Hashtag… more
    Principal Financial Group (07/31/25)
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  • Supervisory Control Specialist

    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 ... for immediate registration (or FINRA recognized equivalents) **Desired Qualifications:** + Conflict management and...+ Strong attention to detail and accuracy skills + FINRA registration including Series 9/10 (or FINRA … more
    Wells Fargo (07/30/25)
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  • Lead Product Manager

    Wells Fargo (Charlotte, NC)
    …Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 24 examinations, or equivalent must be completed within ... needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be...is not eligible for Visa sponsorship **Posting End Date:** 7 Aug 2025 **_*Job posting may come down early… more
    Wells Fargo (08/01/25)
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  • Capital Markets Associate - Derivative Products…

    PNC (Charlotte, NC)
    …the company's success. As a Capital Markets Associate - Derivative Products Group ( FINRA ) within PNC's Capital Markets organization, you will be based in Charlotte, ... derivatives product experience preferred Familiarity with ISDA documentation preferred Licensing requirements: Series 7 & 63 or able to obtain SIE, Series 7 &… more
    PNC (07/31/25)
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  • Lead Compliance Officer - Personal Account Dealing…

    Wells Fargo (Charlotte, NC)
    …of the following: work experience, training, military experience, education + Must possess FINRA Series 7 securities license within 12 months of accepting role ... + Familiarity with Personal Account Dealing programs. + Strong knowledge of SEC, FINRA , and other relevant regulatory frameworks as it pertains to Personal Account… more
    Wells Fargo (07/31/25)
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  • Financial Advisor

    Navy Federal Credit Union (Matthews, NC)
    …to generate GDC based on defined thresholds within a specified period of time + FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required. ... execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies + Prepare… more
    Navy Federal Credit Union (07/29/25)
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  • Business Aligned Supervisory Officer - Cross…

    Wells Fargo (Charlotte, NC)
    …issues. + Experience handling highly sensitive and confidential information utilizing sound judgement. + FINRA Series 7 , 24 & 63 licenses preferred but not a ... up to 10% + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing...for dependent children + Adoption reimbursement **Posting End Date:** 7 Aug 2025 **_Job posting may come down early… more
    Wells Fargo (07/29/25)
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  • Financial Advisor

    Atria Wealth Solutions (Raleigh, NC)
    …+ Four-year degree in Business, Finance, or Insurance or equivalent work experience + FINRA series 7 , 63/65 (or 66) + NC Life, Long-term Care Insurance, ... Coastal Federal Credit Union and registered through CFS (Member FINRA /SIPC). To learn more about CUSO Financial Services, LP...CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a broker-dealer and RIA with a stable,… more
    Atria Wealth Solutions (07/25/25)
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