• FINRA Supervisory Principal - PNC…

    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 ... be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with… more
    PNC (08/29/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    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 (07/08/25)
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  • Wealth Regional Supervisor - Account Opening

    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
    Truist (08/08/25)
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  • Associate, Investment Supervision

    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
    Santander US (08/16/25)
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  • Business Unit Risk Specialist - FINRA

    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 (08/15/25)
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  • Financial Consultant, Truist Investment Services

    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 (08/28/25)
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  • Senior Risk Advisory Manager Public Finance…

    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 (07/19/25)
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  • Senior Compliance Officer - Wealth Management

    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 (08/29/25)
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  • Senior Compliance Officer - Customer Complaints…

    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
    Truist (07/23/25)
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  • Associate, Structured Note Sales

    Scotiabank (New York, NY)
    …upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 4 + years of experience in structured sales ... + Proven track record of established relationships with private banks, broker dealers, RIA's, and asset managers in the US **Interested?** At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for… more
    Scotiabank (07/15/25)
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