- PNC (Charlotte, NC)
- …Financial modeling skills preferred Licenses: Corporate Finance SIE, 79 and 63 ( 7 optional/with manager approval) within 180 days of employment **Job Description** + ... optional) within 180 days of employment, Corporate Finance SIE, 79 and 63 ( 7 optional/with manager approval) within 180 days of employment, Asset Backed Finance SIE,… more
- TIAA (Charlotte, NC)
- …Requirements** + University (Degree) Preferred **Work Experience** + No Experience Required ** FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series ... and closing both education and growth related opportunities. A consultant has their series 7 , 66 and Health/Life licensing in all 50 states. This role falls under… more
- US Bank (Charlotte, NC)
- …**Basic Qualifications** + Bachelor's degree, or equivalent work experience + At least 7 years of experience within a total information technology (IT) environment + ... At least 7 years of experience with the design, development and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Truist (Raleigh, NC)
- …6. Lead moderately complex projects and participates in larger, more complex initiatives. 7 . Solve complex technical and operational problems. Act as a resource for ... straightforward manner 6. Demonstrable experience working in an Agile delivery methodology 7 . Capital Markets domain expertise - specific knowledge of the sales and… more
- Vanguard (Charlotte, NC)
- …experience. What you'll need: + This job requires a regulatory license and/or registration (eg FINRA , state, SFC), the SIE, Series 7 and 63/65 or 66. Certain ... will be determined by Compliance based on role-specific duties. + The SIE & Series 7 are required prior to starting with Vanguard. The Series 66 can be acquired upon… more
- Vanguard (Charlotte, NC)
- …certifications such as the CFA, CTFA or CPA preferred. + This job requires a Series 7 , 63 or 66 regulatory license and/or registration (eg FINRA , state, SFC) as ... role. These will be determined by Compliance based on role-specific duties. + 7 + years of financial advice, financial planning, book of business management and… more
- Truist (Charlotte, NC)
- …and identify trends and issues related to key controls across business units. 7 . Make recommendations and provide practical solutions for the update of Business Unit ... environment 5. Knowledge of large bank, and securities risk frameworks, including FINRA , SEC, ERISA, Sarbanes-0xley, and other applicable federal and state law 6.… more
- Truist (Charlotte, NC)
- …of lending or relationship management experience in the financial services industry + FINRA : Maintains proper licenses including Series 7 , Series 66, Life, ... Health, and Variable insurance licenses. Candidates will have 60 days from their Start Date to transfer, or 100 days from their Start Date to acquire, all of the registrations and licenses required for this position. + Ensures that appropriate continuing… more
- Ally (Raleigh, NC)
- …an end of assignment presentation The Details: * Internship Program Timing: May 26 - August 7 , 2026 * 40 hours each week with a mix of in-office and remote working ... funds, fixed-income, and other securities. Extensive knowledge of trading systems, SEC/ FINRA regulatory requirements, brokerage reporting, as well as PFOF, margin… more
- Bank of America (Charlotte, NC)
- …with AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related ... experience + Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations + BSA knowledge relative to AML or Fraud + Proficiency in Microsoft Excel / data analytics + Self-starter capable of… more