- 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
- Wells Fargo (Charlotte, NC)
- …+ Knowledge and understanding of contact management systems, such as Sales Force + FINRA registration including Series 7 (or FINRA recognized equivalents) + ... ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 63 (or 66) examinations, or equivalent must be completed within… more
- Wells Fargo (Charlotte, NC)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... + Ability to gather, organize, and interpret data + FINRA registration including Series 66 (or FINRA ...+ FINRA registration including Series 66 (or FINRA recognized equivalents) + FINRA registration including… more
- Wells Fargo (Charlotte, NC)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 63 examinations (or FINRA ... + Ability to gather, organize, and interpret data + FINRA registration including Series 66 (or FINRA ...+ FINRA registration including Series 66 (or FINRA recognized equivalents) + Life, Health & Annuities Insurance… more
- TD Bank (Charlotte, NC)
- …proven track record in a high-level management role within wealth management or private banking + FINRA Series 7 , 24, and 66 (or equivalent - Series 9, 10) + ... Keeps abreast of emerging issues and trends from key regulatory bodies including FINRA , SEC, OCC + Partners with Senior Executives across Consumer Distribution &… more
- TD Bank (Charlotte, NC)
- …an asset + 7 + years of US product/investment industry knowledge + Series 7 , 24, 66 (or equivalent) FINRA Registrations + Experience with the wealth industry ... and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to...and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- TD Bank (Charlotte, NC)
- …processes enhancements, investment platform, and wealth products experience required + Series 7 , 24, 66 (or equivalent) FINRA Registrations + Comprehensive ... paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to...and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be… more
- Wells Fargo (Greenville, NC)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job Expectations:** + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …**Licenses/Certifications** * SIE required provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or 63 ... and 65 required. * Life & Variable Annuity Insurance License required. more
- 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...and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer… more