- Truist (Charlotte, NC)
- …support and oversight for change activities (both business and regulatory change). 6 . Provide oversight and support for open risk, audit, and regulatory issues. ... of risk management experience in financial services or related field. 3. 6 + years of leadership experience. 4. Subject matter expertise in assigned/specified line… more
- Equitable (Charlotte, NC)
- …BA/BS degree + FINRA Series 7 and Series 24 preferred. Would consider candidates with a Series 6 and 26, or candidates with a Series 7 or Series ... All reviews are based on FINRA, SEC, and state securities and insurance regulations, as well as company standards...6 with a requirement to obtain the Series 24 or Series 26 within 90… more
- Truist (Charlotte, NC)
- …5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. 6 . Exceptional telephone skills and the ability to ... anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on… more
- Wells Fargo (Charlotte, NC)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Wells Fargo (Charlotte, NC)
- …following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7) exam to qualify for immediate registration ... to grow market share and meet customer needs **Required Qualifications:** + 6 + months of Business Growth Strategy experience, or equivalent demonstrated through one… more
- Wells Fargo (Burlington, NC)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Wells Fargo (Charlotte, NC)
- …following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7) exam to qualify for immediate registration ... with the ability to build advisor relationships + FINRA Series 63 or Series 66 + North...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. +… more
- Wells Fargo (Charlotte, NC)
- …with regulatory requirements and fiduciary responsibilities. **Required Qualifications:** + 6 + months of Wealth Investment Portfolio Management experience, or ... + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 65 (or FINRA recognized equivalents) sufficient to qualify for immediate… more
- Wells Fargo (Charlotte, NC)
- …Share Rights or other long-term incentive awards. **Required Qualifications:** + 6 + months of Investment Banking Program experience, or equivalent demonstrated ... markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date… more
- First Horizon Bank (Greensboro, NC)
- …functions.** + Bachelor's Degree Required + Ability to maintain proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) ... and parental leave* Tuition reimbursement* Mentor program* 401(k) with 6 % match* More -- FirstHorizon.com/First-Horizon-National-Corporation/Careers/Our-Benefits **Follow Us** Facebook (https://www.facebook.com/FirstHorizonBank)… more