- TD Bank (Charlotte, NC)
- …multiple tasks and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7 , 63 &24** + **Life and Health ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
- Wells Fargo (Charlotte, NC)
- …of the following: work experience, training, military experience, education + Must possess FINRA Series 7 securities license within 12 months of accepting ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD)...effectiveness, mentoring team members, and promoting a culture of compliance and accountability. Success in this role will be… more
- First Horizon Bank (Raleigh, NC)
- …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of...laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing… more
- Wells Fargo (Charlotte, NC)
- …education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) ... Fargo Advisors + Support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations + Provide ongoing… more
- Truist (Charlotte, NC)
- …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 ... Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience...+ Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available… more
- TD Bank (Charlotte, NC)
- …College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or… more
- Wells Fargo (Charlotte, NC)
- …of Management experience + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 24 examinations (or FINRA recognized equivalents) ... + Oversee the lifecycle of all investment products, ensuring applicability, regulatory compliance , and relevance. + Collaborate with partners across WIM (Well Fargo… more
- Wells Fargo (Charlotte, NC)
- …the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 (or ... military experience, education + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63(or 66) examinations (or FINRA recognized… more
- Wells Fargo (Charlotte, NC)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or ... planning and execution of business development, recruiting, team development, branch administration, compliance , and operations in the branch network + Work with the… more
- Vanguard (Charlotte, NC)
- …requires a regulatory license and/or registration (eg FINRA, state, SFC), the SIE, Series 7 and 63/65 or 66. Certain professional designations may be used in ... lieu of 65/66. These will be determined by Compliance based on role-specific duties. + The SIE & Series 7 are required prior to starting with Vanguard. The … more