- PNC (PA)
- … FINRA Series 7, 66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review. State insurance license ... in STEM OPT for this position. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory… more
- Truist (Richmond, VA)
- …of regulatory experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66… more
- Truist (Atlanta, GA)
- …or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in… more
- Vanguard (Malvern, PA)
- …safekeeping, clearance and settlements, and the rules and regulations that govern them. + FINRA Series 4 , 7, 63, 24. May be asked to take Series ... expertise. This includes representing Vanguard's broker-dealer to regulators (eg, FINRA , OCC) and overseeing numerous vendor and counterparty relationships.… more
- Santander US (Boston, MA)
- …for Series 24 - Required. * FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4 , and state insurance licenses - Preferred. **It ... conflict resolution skills. Certifications: * FINRA (Financial Industry Regulatory Authority) FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9… more
- Truist (New York, NY)
- …products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7, and 66 licenses ( Series 63 & ... review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit… more
- Truist (Orlando, FL)
- …4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… 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 ... to the assigned business unit regarding its control environment. 4 . Support the business in the development of Key...or related field. 3. 6+ years of leadership experience. 4 . Subject matter expertise in assigned/specified line of business.… more
- Truist (Richmond, VA)
- …with five years at medium to large financial institution 3. Experience using SQL 4 . FINRA series 7 license preferred **General Description of Available ... actual and emerging risk scenarios within business units and/or functions. 4 . Review documentation, perform testing, and support remediation efforts. 5. Research,… more
- Truist (Charlotte, NC)
- …at medium to large financial institution 3. Experience in complaint resolution and exam management 4 . FINRA licensed- Series 7 & 24 **General Description of ... NC * Richmond, VA Candidates must be in office 4 days per week. No full remote, No relocation...and emerging risk scenarios within business units and/or functions. 4 . Develop Risk Committee materials, including evaluation of program… more
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