- Vanguard (Malvern, PA)
- …job requires a Series 7 and 63 regulatory license and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. ... focused on supporting individuals without a financial background to pass their SIE and FINRA Series 7 & 63. After joining corporate orientation, you will go straight… more
- Vanguard (Malvern, PA)
- …job requires a Series 7 and 63 regulatory license and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. ... + Fully paid training, coaching, and continuous support needed to pass the SIE and FINRA Series 7 & 63 + Access to learning and development resources to equip, and… more
- Vanguard (Malvern, PA)
- …varied understanding of financial markets and products. + Advanced knowledge of FINRA , SEC, state, banking, and trust company regulations and other regulatory ... objectives. + This job may require regulatory license and/or registration (eg FINRA , state). These will be determined by Compliance based on role-specific duties.… more
- JPMorgan Chase (Pittsburgh, PA)
- …degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses ... are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and some evenings. **Preferred… more
- Citizens (Pittsburgh, PA)
- …as IBM ICM) + Agile Kanban Education: Bachelor's Degree required **This role is FINRA associated Hours & Work Schedule Hours per week: 40 Work Schedule: 8:00am - ... 5:00pm, Monday - Friday Pay Transparency The salary range for this position is $93,440 - $140,160 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and… more
- US Bank (Harrisburg, PA)
- …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more
- PNC (Pittsburgh, PA)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- PNC (North Hills, PA)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- PNC (Pittsburgh, PA)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more
- PNC (Moon Township, PA)
- …Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. ... **California Residents** Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC\_CCPA\_Privacy\_Disclosure\_Employee.pdf) to gain understanding of how PNC may use or disclose your personal… more