- Equitable (Bala Cynwyd, PA)
- …district goals consistent with branch and company strategy + Supervisory skills ensuring compliance and brand are met + Fostering diverse talent and enabling an ... meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client...and have a developed client base + Must pass FINRA Series 24 exam prior to stepping into leadership… more
- KeyBank (Mcmurray, PA)
- …effectively managing internal and external centers of influence. + Ensuring compliance with operational, risk, security and audit procedures and policies including ... and capabilities within Key (required) **Licenses and Certifications** + FINRA License S6 Upon Hire (required) + FINRA... FINRA License S6 Upon Hire (required) + FINRA License S63 Upon Hire (required) + FINRA… more
- Wells Fargo (Spring House, PA)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
- Wells Fargo (Philadelphia, PA)
- …timely monitoring of performance trends, validating risk ratings, monitoring covenant compliance , as well as adherence to policy and regulatory requirements to ... and coordinate colleagues in the execution of loan booking, closing, and compliance requirements. + Contribute to and lead credit focused projects, partnering with… more
- Truist (West Chester, PA)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65...obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of… more
- Equitable (Philadelphia, PA)
- …benefits and wealth-building programs + Our competitive payouts + Our operation and compliance infrastructure support * LPL Financial, member FINRA , SIPC, is the ... Securities offered through Equitable Advisors, LLC (NY, NY ###), member FINRA , SIPC (Equitable Financial Advisors in MI & TN). Investment advisory… more
- Vanguard (Malvern, PA)
- …and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. How we will help: Choosing the next step in ... 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)
- …and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. How we will help: Choosing the next step in ... + 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
- US Bank (Harrisburg, PA)
- …One. **Job Description** Senior Analyst in PFM Asset Management's Arbitrage & Tax Compliance Group, based in the Harrisburg or Philadelphia, PA offices. PFM Asset ... and supporting internal and external clients. PFMAM's Arbitrage & Tax Compliance Group is headquartered in Harrisburg, Pennsylvania. PFMAM's consulting services… more
- PNC (Pittsburgh, PA)
- …subject matter specialties, communicates effective enterprise wide and business unit compliance program requirements and implications to comply with the Bank Secrecy ... constructively challenge conclusions/status quo and credibly influences customers. + Updates Compliance policies and procedures as needed. Ensures that Compliance… more