- PNC (PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Investments, you may be based in a remote ... participate in STEM OPT for this position. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk… more
- ADP (Allentown, PA)
- …+ Serve as a subject matter expert in handling routine client requests for ADP clients + Resolve routine customer concerns with pre-defined solutions + Answer ... non-technical questions regarding ADP products + Provide consultation and help answer non-technical questions supporting less-experienced specialists on the team + Learn and navigate ADP systems in order to respond to issues **QUALIFICATIONS REQUIRED:** + At… more
- Wells Fargo (Pittsburgh, PA)
- …the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or ... FINRA recognized equivalents) **Desired Qualifications:** + Successfully completed FINRA Series 63 and 65 (or 66) exams to qualify for immediate registration (or … more
- Wells Fargo (Philadelphia, PA)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... if necessary + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must… more
- Wells Fargo (Philadelphia, PA)
- …and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- PNC (Pittsburgh, PA)
- …at the Tower at PNC Plaza. **Job Description** + Licensing requirements: Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA Series 99 required. PNCI ... will be required based on the incumbents department within PNCIs Product Group: FINRA 66 (or 63/65) or Life & Health Insurance.Leverages analytical tools to provide… more
- Wells Fargo (Folsom, PA)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Allentown, PA)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Wells Fargo (Wayne, PA)
- …banking * Experience recommending financial services products and services * Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture * Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- TD Bank (Philadelphia, PA)
- …proactively learn from the expertise of others **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA ... May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards...Must be eligible for employment under standards established by FINRA . Subject to the investigation and verification requirements of… more