- PNC (NC)
- …service) may be considered. **Education** Associates **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63 & 65) required. Life ... tailored to their individual situation and needs. Investment Licenses 7 and 66 (or 63 and 65) required. **Job...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- Truist (Charlotte, NC)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses (Series 9&10 can be used ... also required. **Preferred Qualifications:** + Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + … more
- Truist (Charlotte, NC)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses (Series 9&10 can be used ... used in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
- Vanguard (Charlotte, NC)
- …requires a Series 7 and 63 regulatory license and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. ... paid training, coaching, and continuous support needed to pass the SIE and FINRA Series 7 & 63. + Access to learning and development resources to equip, and… more
- TD Bank (Charlotte, NC)
- …priorities to meet deadlines** + **Experience presenting to management and regulators** + ** FINRA series 7 and 24** + **Life and Health Insurance License** ... and Exchange Commission (SEC) and Financial Industry Regulatory Authority** **( FINRA )** **Customer Accountabilities:** + Assists in the development and… more
- US Bank (Charlotte, NC)
- …financial planning technology platforms - Proven ability to build and maintain relationships - FINRA Series 7 & 63, or willingness to obtain If there's anything ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Vanguard (Charlotte, NC)
- …products and related regulations (Reg E, Reg CC, NACHA). + CRCM certification required; FINRA Series 7 and 24 strongly preferred. + Strong analytical, writing, ... demonstrate deep expertise in Regulation E, Regulation CC, NACHA rules, and FINRA oversight. You will design and execute compliance testing frameworks, conduct… more
- MUFG (Charlotte, NC)
- …with S&P Capital IQ, Pitchbook, Salesforce CRM and online data room platforms + FINRA Series 7 , 63 or 79 license **Compensation & Benefits:** The typical ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Truist (Charlotte, NC)
- …five years at medium to large financial institution 3. Experience using SQL 4. FINRA series 7 license preferred **General Description of Available Benefits for ... performance measurement data, along with oversight monitoring and mitigation strategies. 7 . Assist in developing or updating policies and procedures, reference cards… more
- Truist (Charlotte, NC)
- …be made to enable individuals with disabilities to perform the essential functions. + ** FINRA Series 7 and 63.** + Bachelor's degree in finance, accounting or ... economics, or equivalent education and related training. + One (1) year of related order handling experience. + Strong client contact skills, attention to detail and accuracy, ability to multi-task effectively. + Ability to operate in fast-paced inbound call… more