• Financial Advisory Senior Area Manager

    Wells Fargo (Mclean, VA)
    …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... team of financial advisors **Job Expectations:** + Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. … more
    Wells Fargo (08/02/25)
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  • Market Support Manager

    Wells Fargo (San Diego, CA)
    …2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10 and 63 exams or 7 , 9/10 ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 65… more
    Wells Fargo (07/23/25)
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  • Associate Manager - Manager Leadership Program

    Wells Fargo (Wayne, PA)
    …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Business development experience + Leadership… more
    Wells Fargo (07/19/25)
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  • Business Analytics Consultant - PNC Investments

    PNC (Pittsburgh, PA)
    …located at the Tower at PNC Plaza. **Job Description** + Licensing requirements: Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA Series 99 ... required. PNCI Product - FINRA Series 7 required. In addition, a combination of the following...Bachelors **Certifications** No Required Certification(s) **Licenses** Capital Markets - FINRA Series 7 & 63. PNCI Operations… more
    PNC (07/22/25)
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  • Supervisory Control Specialist

    Wells Fargo (Charlotte, NC)
    …the following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify ... for immediate registration (or FINRA recognized equivalents) **Desired Qualifications:** + Conflict management and...+ Strong attention to detail and accuracy skills + FINRA registration including Series 9/10 (or FINRA … more
    Wells Fargo (07/30/25)
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  • Supervisory Control Associate

    Wells Fargo (Doylestown, PA)
    …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA ... broker-dealer governance **Job Expectations:** + US only: Registration for FINRA Series 9/10 must be completed within a 90-day...needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. + US only:… more
    Wells Fargo (07/29/25)
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  • Supervisory Control Specialist

    Wells Fargo (Scottsdale, AZ)
    …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or FINRA ... the time + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
    Wells Fargo (07/27/25)
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  • Supervisory Control Manager

    Wells Fargo (Seal Beach, CA)
    …years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 66 (or 63 and 65) ... examinations (or FINRA recognized equivalents) sufficient to qualify for immediate ...FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Strong client service skills… more
    Wells Fargo (07/26/25)
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  • Senior Supervisory Control Specialist

    Wells Fargo (Boston, MA)
    …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 63 examinations (or FINRA ... the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws… more
    Wells Fargo (07/25/25)
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  • Head of Distribution US Wealth (US)

    TD Bank (New York, NY)
    …15+ years Must have extensive Wealth Management leadership experience with a proven track record + FINRA Series 7 , 24 (or equivalent - Series 9, 10) and 65 (or ... related to US Securities and financial markets (OCC, SEC, FINRA , and State Securities Regulators) + Expert human relations...management skills **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
    TD Bank (07/30/25)
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