• Compliance Consultant, Advertising Review

    Lincoln Financial (Radnor, PA)
    …internal, financial professional and public audiences. Comprehensive knowledge of state, FINRA /SEC regulations is required as well as diplomatic and public speaking ... Acting as subject matter expert regarding firm and regulatory guidelines including FINRA , SEC, NAIC and various individual states. * Directing and enhancing… more
    Lincoln Financial (09/03/25)
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  • Financial Professional - Retirement Benefits Group

    Equitable (Philadelphia, PA)
    …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... it takes you to complete the company sponsored required FINRA licenses and registrations and enter PEP + **Base...social impact and community engagement. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
    Equitable (08/19/25)
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  • Wealth Management Associate with Leadership…

    Equitable (Bala Cynwyd, PA)
    …level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base + Must pass ... FINRA Series 24 exam prior to stepping into leadership...+ Columbia Holistic Financial Coach Program + Sponsorship for FINRA licensing + Working closely with top leadership thru… more
    Equitable (08/19/25)
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  • Entry Level - Financial Advisor - PA, Erie

    Equitable (Bala Cynwyd, PA)
    …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... it takes you to complete the company sponsored required FINRA licenses and registrations and enter PEP + **Stable...social impact and community engagement. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
    Equitable (07/13/25)
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  • Head of Brokerage Trade Operations

    Vanguard (Malvern, PA)
    …expertise. This includes representing Vanguard's broker-dealer to regulators (eg, FINRA , OCC) and overseeing numerous vendor and counterparty relationships. ... performance of operation, and ensures compliance with SEC, OCC, FINRA regulations. Reviews applicable current and future regulatory requirements...and the rules and regulations that govern them. + FINRA Series 4, 7, 63, 24. May be asked… more
    Vanguard (09/02/25)
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  • Private Client Banker

    KeyBank (Mcmurray, PA)
    …on digital platforms and capabilities within Key (required) **Licenses and Certifications** + FINRA License S6 Upon Hire (required) + FINRA License S63 Upon ... Hire (required) + FINRA Security Industry Essentials (SIE) Upon Hire (required) + Life and Health Insurance Licenses Upon Hire (required) **Tactical Skills** + Is knowledgeable about the client's accounts and business with the bank and uses sound judgment… more
    KeyBank (08/26/25)
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  • Associate Private Client Advisor

    KeyBank (Corry, PA)
    …in financial services or related field (preferred) **Licenses and Certifications** + FINRA Security Industry Essentials (SIE) Upon Hire (required) + FINRA ... License S7 Upon Hire (required) + FINRA License S66 or S63 and S65 Upon Hire (required) + Certified Financial Planner (CFP) (preferred) + Resident State Insurance Licenses (Life, Variable, and Accident/Health or Life & Disability) Upon Hire (required) + In… more
    KeyBank (08/26/25)
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  • Associate Private Client Advisor

    KeyBank (Pittsburgh, PA)
    …School Diploma (required) + Bachelor's Degree (preferred) **Licenses and Certifications** + FINRA Security Industry Essentials (SIE) Upon Hire (required) + FINRA ... License S7 Upon Hire (required) + FINRA License S66 or S63 and S65 Upon Hire (required) + Certified Financial Planner (CFP) (preferred) + Resident State Insurance Licenses (Life, Variable, and Accident/Health or Life & Disability) Upon Hire (required)… more
    KeyBank (08/08/25)
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  • Editorial Manager

    Vanguard (Malvern, PA)
    …and experts in other departments to ensure content we create is compliant with FINRA and Vanguard standards. + Selflessness. You are devoted to developing others and ... objectives are met while ensuring it's done in compliance with SEC and FINRA rules and regulations. Achieve compliant quality performance levels. + Act as Registered… more
    Vanguard (07/23/25)
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  • Private Client Advisor

    KeyBank (Lansdale, PA)
    …Diploma (required) or + Bachelor's Degree (preferred) **Licenses and Certifications** + FINRA Security Industry Essentials (SIE) Upon Hire (required) + FINRA ... License S7 Upon Hire (required) + FINRA License S66 or S63 and 65 Upon Hire (required) + Certified Financial Planner (CFP) (preferred) + Resident State Insurance Licenses (Life, Variable, and Accident/Health or Life & Disability) (required) **Tactical… more
    KeyBank (07/22/25)
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