- TEKsystems (Fort Worth, TX)
- …processing Identifying inconsistencies/inaccuracies Skills Financial Services, Operations, Series 7 , Series 63, document processing Top Skills Details Financial ... Services, Operations, Series 7 ,Series 63 Additional Skills & Qualifications Needs Series 7 &63 or 66 (combo includes 63) Some amount of higher level education… more
- PNC (PA)
- …participate in STEM OPT for this position. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65). Series 24 (9/10). + Partners with regulatory ... service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63/65), 24 (or 9/10)… more
- Truist (Charlotte, NC)
- …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
- First National Bank of Omaha (Minneapolis, MN)
- …2-3 years of relevant investment banking, capital markets, or private equity experience + FINRA SIE, 7 , 63 and Series 79 License (or equivalent registrations) or ... **Registration Requirement:** This position requires Financial Industry Regulatory Authority ( FINRA ) registration. Qualification requirements include meeting applicable financial industry… 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
- Wells Fargo (Seattle, WA)
- …Advisors/Wealth Advisors + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 (or FINRA recognized equivalents) ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 7 or equivalent must be completed within a 90-day time period following… more
- Wells Fargo (Charlotte, NC)
- …+ Knowledge and understanding of contact management systems, such as Sales Force + FINRA registration including Series 7 (or FINRA recognized equivalents) + ... ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 63 (or 66) examinations, or equivalent must be completed within… more
- TD Bank (Greenville, SC)
- …+ 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
- Jackson National Life Insurance Company (Nashville, TN)
- …required.** **Experience working in a professional office environment preferred.** ** FINRA SIE, FINRA Series 6 or 7 , FINRA Series 63, State Insurance ... 6, 63 and State Life Insurance License registration within 90 days. Additional FINRA licensing may be required. + Completes assigned projects in a timely manner.… 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