- City National Bank (Charlotte, NC)
- …Worth or Ultra High Net Market markets * 2 + years delivering formal client presentations * FINRA Series 7 and 63 or 66 licenses * Ability to travel 40-50% of ... the time *Additional Qualifications* * CFA - Chartered Financial Analyst (or in process of becoming CFA Charterholder) * Highly competitive and goal-oriented * A focus on sales and new business development * Masters Degree preferred * Working knowledge of… more
- Charles Schwab (Asheville, NC)
- …is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiringFINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- Bank of America (Wilmington, NC)
- …and development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) ... registrations required with 5+ years' experience + Established and portable practice with a minimum of $1MM in production + Experience managing client portfolios and driving growth + Proven relationship building and business development skills Desired Skills:… more
- TIAA (Charlotte, NC)
- …set associates up for success. You can even receive funding, coaching and support to pass FINRA Series 6 or 7 and 63 certification exams if you are not currently ... of champions. This is a Financial Industry Regulatory Authority ( FINRA ) Registered role that is primarily responsible for taking...FINRA Registrations** + SRC Indicator: Series 6 or 7 ; Series 63 **Licenses and Certifications** + Life and… more
- Truist (Greensboro, NC)
- …retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7 , 66 (63 and 65 in lieu of 66) and ... centers of influence who will enhance business development efforts. 7 . Work within existing audit, compliance and regulatory framework...obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of… more
- TD Bank (Charlotte, NC)
- …multiple tasks and competing priorities.** + **Proficiency with Microsoft Office applications.** + ** FINRA license Series 7 , 63 &24** + **Life and Health ... & Experience:** + Undergraduate degree or equivalent work experience + 7 + years of experience **Desired Qualifications:** + **Demonstrated business writing… more
- Truist (Charlotte, NC)
- …with training and continuing education requirements for professional credentials such as FINRA licensing (Series 7 , 63, 65, 24, etc.), Certified Financial ... partners and collaborate with individuals at any level of the organization. 7 . Ability to work independently. Strong proficiency in basic computer applications, such… more
- Truist (Charlotte, NC)
- …large financial institution 3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of Available ... and performance measurement data, along with oversight monitoring and mitigation strategies. 7 . May manage other Compliance teammates and serve as mentor to other… more
- Wells Fargo (Charlotte, NC)
- …Securities (Regulation AB), Regulation RR, Volcker Rule, TRACE, and other applicable FINRA , SEC, FRB, and OCC rules. + Provide compliance advisory support for ... Legal, Operational Risk, Credit, and Market Risk teams. **Required Qualifications:** + 7 + years of Compliance experience, or equivalent demonstrated through one or a… more
- Atria Wealth Solutions (King, NC)
- …OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker/dealer. + Accountable for meeting annual business plan and ... aspects of personal finance. PROFESSIONAL LICENSES - + Series 7 , 66, or (63 and 65) securities licenses required....and registered through CUSO Financial Services, LP (CFS). Member FINRA /SIPC. CFS is a broker/dealer and RIA with a… more