- Vanguard (MO)
- Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a Client Service Excellence Center associate! About this Job: At ... Licensing Requirement: To be considered for this role, you must hold active FINRA Series 7 and Series 63 licenses. If you do not currently have these licenses… more
- Truist (Atlanta, GA)
- …products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7 , and 66 licenses (Series 63 & 65 can ... review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit… more
- Truist (New York, NY)
- …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of trading floor ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
- TD Bank (Marlton, NJ)
- …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...+ State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA… more
- Wells Fargo (Charlotte, NC)
- …affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 ... training, military experience, education. + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or … more
- Aegon Asset Management (Cedar Rapids, IA)
- …years of suitability or best interest review experience, investment sales supervision, or similar work. + FINRA Series 6 or 7 + FINRA Series 63, 26, 65, or ... Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It's part of Aegon, an integrated,...within six months + Thorough knowledge of securities products, FINRA , SEC and DOL regulations. + Strong written and… more
- Aegon Asset Management (Denver, CO)
- …product development, and/or product due diligence (typically 10 or more years) + FINRA Series 6 or 7 + FINRA Series 63 + Life & Health insurance license ... Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It's part of Aegon, an integrated,...Qualifications + Bachelor's degree in business or finance + FINRA Series 24/26 + Sales and training experience Working… more
- Hantz Group (Saginaw, MI)
- …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... organizational skills + Basic database skills + Proficient in Microsoft Office + Series 7 Licensed Preferred + Must be Able to Obtain Required Licenses* Benefits: +… more
- Wells Fargo (Los Angeles, CA)
- …related field. + Advanced certifications in lending, credit analysis, or private banking. + FINRA registration including Series 7 and 66 (or FINRA recognized ... + Ability to travel to throughout West Coast Markets regularly + FINRA Series 7 and 66 examinations, or equivalent must be completed within either a… more
- TD Bank (Charlotte, NC)
- …senior management attention.** + **Experience conducting annual compliance assessments under 206-4( 7 ) and FINRA 3130.** + **Demonstrated business writing ... on advertising and marketing materials for a broker-dealer/bank.** + ** FINRA Series 7 , 63 and 24 preferred.**...materials for a broker-dealer/bank.** + ** FINRA Series 7 , 63 and 24 preferred.** **Customer Accountabilities:** + Proactively… more