- PNC (Los Angeles, CA)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... Derivatives - SIE, Series 7 and 63 within 120 days of employment. FIG - SIE, Series 7 and 63 within 120 days of employment. Fixed Income - SIE, Series… more
- Bank of America (Los Angeles, CA)
- …policies and procedures **Key Qualifications for the role:** + Candidates are **required** to currently hold Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) equivalent licenses + Series 3, 31 licenses, if warranted + Minimum 5+ years professional experience… more
- Bank of America (Newport Beach, CA)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- Bank of America (San Diego, CA)
- …prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum of 5+ years… more
- Bank of America (Walnut Creek, CA)
- …compliance to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum of 5+ years… more
- Bank of America (San Francisco, CA)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... Advisors in the centralized segment are phone-based licensed advisors (obtaining series 7 and 66 required) that provide clients with holistic financial advice… more
- Bank of America (Milpitas, CA)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... identify client needs and appropriate solutions. * Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses (63 & 65 accepted, in lieu… more
- Bank of America (San Francisco, CA)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... identify client needs and appropriate solutions. * Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses (63 & 65 accepted, in lieu… more
- Bank of America (Yuba City, CA)
- …where you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your ... identify client needs and appropriate solutions. * Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses (63 & 65 accepted, in lieu… more
- Wells Fargo (Los Angeles, CA)
- …leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9, 10, and 63 examinations (or FINRA recognized ... employee engagement and growth in a branch or a series of branches + Responsible for overall management of...equivalents) sufficient to qualify for immediate FINRA registration. Series 24 is required if Series 9… more