- PNC (PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Investments, you may be based in a remote ... participate in STEM OPT for this position. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk… more
- Truist (New York, NY)
- …review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit ... stakeholders to support The Business Unit Risk Advisor Specialist II- FINRA is a role within the Investment Banking and Capital Markets (IBCM) Business Unit Risk… more
- ADP (Dallas, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities...degree preferred, or equivalent of experience and education + FINRA Series 6 and 63 securities licenses and Securities… more
- ADP (CA)
- …+ Responsible for soliciting rollover assets from meeting participants. + Maintain FINRA licensing requirements and continuing education. Need to maintain a high ... junior associates. + Performs other related duties as assigned. **QUALIFICATIONS REQUIRED:** + FINRA Licenses 6 and 63 + 3-5 Years of directly related experience +… more
- First National Bank of Omaha (Minneapolis, MN)
- …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 rules and ... regulations, order management systems, transaction execution workflows from input through settlement. + Strong knowledge of trade reporting and pre and post trade controls with ability to point out gaps in the control environment and create new actionable… more
- ADP (Louisville, KY)
- …+ Serve as a subject matter expert in handling routine client requests for ADP clients + Resolve routine customer concerns with pre-defined solutions + Answer ... non-technical questions regarding ADP products + Provide consultation and help answer non-technical questions supporting less-experienced specialists on the team + Learn and navigate ADP systems in order to respond to issues **QUALIFICATIONS REQUIRED:** + At… more
- Wells Fargo (New York, NY)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 1+ years of leadership experience + Familiarity… more
- Wells Fargo (New Orleans, LA)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... 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 (New York, NY)
- …and oral communication skills **Job Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of hire date if it is not ... available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180 days of… more