- 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
- Edward Jones (Durham, NC)
- …+ High School Diploma/Equivalent required; Bachelor's degree preferred + Series 7 and Series 66 required, if not currently registered, registrations may ... + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance licenses required + As an… 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
- Bank of America (Charlotte, NC)
- …investment experience/work and/or strong knowledge of investments/securities products and services + 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 + Prior anti-money laundering / financial crimes investigation experience in a financial institution or… more
- TIAA (Charlotte, NC)
- …University (Degree) Preferred **Work Experience** + 2+ Years Required; 3+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series ... 65; Series 66 **Licenses and Certifications** + Certified Financial Planner (CFP) - Certified Financial Planner Board of Standards required Upon Hire **Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 6IC **Please note** , a… more
- Huntington National Bank (Winston Salem, NC)
- …with an emphasis on investment or business lending and business sales experience. + FINRA Licenses (required): Candidate must have 3 of the following 5 licenses in ... an active status: Series 6 or 7 ; Series 63 or 66; State Life and Health Insurance License; SIE - Securities Industry Essentials. If the candidate does not already… more
- Vanguard (Charlotte, NC)
- …achieve results + Learning agility to successfully pass the SIE and obtain the Series 7 and 63 within the time frame described in Vanguard's FINRA Licensing ... Policy by utilizing resources and support provided by Vanguard + Analytical and problem-solving skills, with the ability to think critically and strategically. + Excellent communication skills and professional demeanor for effective interaction with internal… more