- Truist (Charlotte, NC)
- …of regulatory experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of ... **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 (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 (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 (Charlotte, NC)
- …with five years at medium to large financial institution 3. Experience using SQL 4 . FINRA series 7 license preferred **General Description of Available ... actual and emerging risk scenarios within business units and/or functions. 4 . Review documentation, perform testing, and support remediation efforts. 5. Research,… more
- 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
- Wells Fargo (Charlotte, NC)
- …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series … more
- Wells Fargo (Charlotte, NC)
- …Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 63 (or 66) examinations, or equivalent must be ... within Business Growth Strategy functional area **Required Qualifications:** + 4 + years of Business Growth Strategy experience, or equivalent...of contact management systems, such as Sales Force + FINRA registration including Series 7 (or … more
- Wells Fargo (Wilmington, NC)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... personnel and training for entry-level Client Associates **Required Qualifications:** + 4 + years of Brokerage and Client Services experience, or equivalent… more
- 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
- 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