- Equitable (Raleigh, NC)
- …skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a track record of success ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
- Equitable (Pinehurst, NC)
- …skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a track record of success ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
- Wells Fargo (Charlotte, NC)
- …associated with the function or affected by its outcomes **Required Qualifications:** + 7 + years of Law experience, or equivalent demonstrated through one or a ... charges, arbitration hearings and administrative proceedings + Experience with FINRA matters, including providing counsel and guidance regarding complex employment… more
- TEKsystems (Charlotte, NC)
- …+ Will work directly with advisors on compliance, registration, and FINRA licensing requirements. What to Expect: + Career Advancement: Continuous feedback ... support. Requirements: * 1 -2 Years experience in a FINRA regulated environment * Minimum 1 year of recent...State rules and regulations required. * Licenses requirement: Series 7 top-off Preferences: * 1-2 year of financial services… more
- Thrivent Financial (Greensboro, NC)
- …a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7 , 63 & 65) before contracting * Life, ... be made to complete the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review… more
- PNC (Winston Salem, NC)
- …& 63 (79 optional) within 180 days of employment. Asset Backed Finance - SIE, 7 , 79 and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) ... - SIE, Series 79, Series 7 , and 63 within 120 days of employment. Derivatives...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- Wells Fargo (Charlotte, NC)
- …Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that...for dependent children + Adoption reimbursement **Posting End Date:** 7 Sep 2025 **_Job posting may come down early… more
- Huntington National Bank (Charlotte, NC)
- …and/or disciplinary actions; establishes/communicates group strategy. + Supervises 20-30 FINRA registered representatives, a FINRA Registered Sales Support ... preferably in a banking environment + 3 or more years' experience managing a team + Series 7 , 63/65 or 66, 24, and Series 53 (or Series 53 within 120 days of hire) +… more
- Guardian Life (Raleigh, NC)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with...+ Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days.… more
- Wells Fargo (Charlotte, NC)
- …550 S Tryon St, Charlotte, NC 28202 This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that...all risk and compliance program requirements. **Posting End Date:** 7 Sep 2025 **_*Job posting may come down early… more