- 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 ... be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk… more
- DXC Technology (Tulsa, OK)
- …processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support, ... Quality Assurance (QA) support, including enhanced QA reviews for FINRA -registered associates handling variable investment transactions. **Qualifications** **Required:** +… 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 (El Paso, TX)
- …+ 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 (Purchase, NY)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... if necessary + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must… 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
- Wells Fargo (St. Louis, MO)
- …stakeholders. + **Regulatory & Risk Oversight** + Ensure all products comply with FINRA , SEC, OCC, and other regulatory body requirements. + Work closely with Legal, ... years of Management experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 24 examinations (or FINRA recognized… more