- US Bank (Minneapolis, MN)
- …initiatives across WCIB & ICG business lines. This role would ideally hold the FINRA 7, 66 and 24 registrations to ensure their ability to oversee and deliver ... experience and sales. Additional certifications to have or acquire: FINRA 7, 66, 24 State life & health insurance...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Kestra Financial (Hartford, CT)
- …of experience in financial advising . Life, Health and Accident License - State of CT . FINRA Series 7 and FINRA 66 License . Well organized with the ability to ... Active Listening, Critical Thinking, Strong Ethics . Clean record with SEC and FINRA Skills + Trustworthy, sincere, charismatic and social disposition, able to start… more
- T. Rowe Price (Baltimore, MD)
- …motivated, entrepreneurial, and goal-oriented; reputation for integrity and service excellence. + FINRA Series 7, 63 and/or 6. Preferred: + CFA, CAIA, CFP, and/or ... MBA highly desired. FINRA Requirements FINRA licenses are required and will be supported for this role. Work Flexibility This role is eligible for full time… more
- Wells Fargo (New York, NY)
- …to work additional hours as needed + This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background ... check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA… more
- Wells Fargo (Chicago, IL)
- …Visa sponsorship is not available + This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background ... check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA… more
- Wells Fargo (New York, NY)
- …business insights. **Job Expectations:** + This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a ... background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a … more
- US Bank (Walnut Creek, CA)
- …degree preferred) - Five or more years of investment industry experience preferred - FINRA SIE, Series 7, Series 63 and 65/or 66 registrations and life, variable ... the policies, processes and procedures of the brokerage industry, FINRA and SEC regulatory standards and all applicable regulatory...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Wells Fargo (Minneapolis, MN)
- …timely delivery of reporting to the regulators aligned with the WIM business (eg FINRA , SEC, OCC, etc.). In addition, the team will support Operations in the rollout ... a meaningful client experience + Successful completion and registration of FINRA Series 99 or FINRA equivalents **Job Expectations:** + Ability to work a hybrid… more
- Wells Fargo (New York, NY)
- …Market Abuse or Manipulation Regulations and FCA MAR Behaviors + Knowledge of FINRA , CFTC, NFA, FX Global Code + Surveillance exposure in fixed income, derivatives, ... not eligible for VISA sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Scotiabank (New York, NY)
- …on financial data; and leveraging theoretical probability knowledge to analyze research papers. FINRA SIE required. FINRA Series 7 required. FINRA Series ... 63 required. Offered salary is between $225,000 and $225,000 per year. 40 hours per week. QUALIFIED APPLICANTS: Please apply directly through our website https://www.scotiabank.com/careers by searching for Associate Director, Exotic Equity Derivatives Trader &… more