• Wealth Regional Supervisor Specialist Team Leader

    Truist (Charlotte, NC)
    …Bachelor's degree in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66… more
    Truist (07/08/25)
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  • Wealth Regional Supervisor - Account Opening

    Truist (Charlotte, NC)
    …or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in… more
    Truist (08/08/25)
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  • Wealth Relationship Manager - Divisional…

    Truist (Charlotte, NC)
    …or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in… more
    Truist (07/08/25)
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  • Senior Risk Advisory Manager Public Finance…

    Truist (Charlotte, NC)
    …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor ... to the assigned business unit regarding its control environment. 4 . Support the business in the development of Key...or related field. 3. 6+ years of leadership experience. 4 . Subject matter expertise in assigned/specified line of business.… more
    Truist (07/19/25)
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  • Senior Compliance Officer - Customer Complaints…

    Truist (Charlotte, NC)
    …at medium to large financial institution 3. Experience in complaint resolution and exam management 4 . FINRA licensed- Series 7 & 24 **General Description of ... NC * Richmond, VA Candidates must be in office 4 days per week. No full remote, No relocation...and emerging risk scenarios within business units and/or functions. 4 . Develop Risk Committee materials, including evaluation of program… more
    Truist (07/23/25)
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  • Supervisory Control Specialist

    Wells Fargo (Charlotte, NC)
    …the following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify ... license(s) is required for ongoing employment in this position. FINRA Series 9/10 examinations or equivalent must...for dependent children + Adoption reimbursement **Posting End Date:** 4 Aug 2025 **_Job posting may come down early… more
    Wells Fargo (07/30/25)
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  • Centralized Brokerage Client Service Associate…

    Truist (Charlotte, NC)
    …and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses. (candidates that only ... optional dividends and the exercise of warrants and rights. 4 . Schedule and confirm client appointments, enter data in...have the Series 7 or Series 66 will be considered with the understanding that… more
    Truist (07/15/25)
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  • Wealth Management Associate - NC, Raleigh, Wake…

    Equitable (Raleigh, NC)
    …a positive impact in the lives of its clients. Our network of over 4 ,300 financial professionals across the US is committed to fostering relationships that help ... achieve meaningful financial wellness. In total, ​​Equitable​ Advisors serves 2. 4 million clients nationwide. Our mission is simple: to...experience + **Licensing** : State Life & Health, SIE, Series 7, Series 66 + **Personal Attributes**… more
    Equitable (08/02/25)
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  • Financial Advisor

    Atria Wealth Solutions (King, NC)
    …OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker/dealer. + Accountable for meeting annual business plan and ... tactful and patient with others. Minimum completion of a 4 - year degree in Finance, Business or related field,...all aspects of personal finance. PROFESSIONAL LICENSES - + Series 7, 66, or (63 and 65) securities licenses… more
    Atria Wealth Solutions (05/24/25)
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  • Front Office Trade Surveillance VP

    Truist (Charlotte, NC)
    …to review trade surveillance alerts and investigate potential compliance issues. 4 . Ensures effective research and documentation alerts 5. Performs surveillance and ... clients, or unauthorized trading. 3. Research and document exceptions. 4 . Assist in the design and implementation of surveillance...to perform the essential functions.1. BA/BS degree 2. Licenses: Series 7, Series 99, Series … more
    Truist (06/14/25)
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