• FINRA Supervisory Principal - PNC…

    PNC (PA)
    …visas or participate in STEM OPT for this position. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65). Series 24 (9/10). + Partners ... service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63/65), 24 (or… more
    PNC (08/29/25)
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  • Business Unit Risk Specialist - FINRA

    Truist (New York, NY)
    …software products. 8. Ability to travel, occasionally overnight. Preferred Qualifications: 1. Strongly preferred: FINRA Series 7 , and 66 licenses ( Series ... 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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  • Senior Risk Advisory Manager Public Finance…

    Truist (New York, NY)
    …Qualifications:** + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of ... and Wholesale Business Unit Risk team to successfully implement and document remediation. 7 . Support the business for all audit and regulatory exam engagements. 8.… more
    Truist (07/19/25)
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  • Business Analytics Consultant - PNC Investments

    PNC (Pittsburgh, PA)
    …be located at the Tower at PNC Plaza. **Job Description** + Licensing requirements: Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA ... Series 99 required. PNCI Product - FINRA Series 7 required. In addition, a combination of the following licenses will be required based on the incumbents… more
    PNC (07/22/25)
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  • Branch Complex Senior Manager

    Wells Fargo (Los Angeles, CA)
    …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… more
    Wells Fargo (08/21/25)
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  • Internal Alternative Investment Consultant

    Wells Fargo (Charlotte, NC)
    …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 63 (or 66) examinations, or equivalent ... and understanding of contact management systems, such as Sales Force + FINRA registration including Series 7 (or FINRA recognized equivalents) + … more
    Wells Fargo (08/23/25)
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  • Branch Support Manager

    Wells Fargo (New York, NY)
    …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within a 90-day… more
    Wells Fargo (09/03/25)
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  • Head of Wealth Remediation (US)

    TD Bank (Boston, MA)
    …a proven track record in a high-level management role within wealth management or private banking + FINRA Series 7 , 24, and 66 (or equivalent - Series 9, ... Keeps abreast of emerging issues and trends from key regulatory bodies including FINRA , SEC, OCC + Partners with Senior Executives across Consumer Distribution &… more
    TD Bank (08/28/25)
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  • Associate Bank Financial Advisor

    Wells Fargo (Nashville, TN)
    …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) ... Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must… more
    Wells Fargo (09/03/25)
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  • Associate Private Client Financial Advisor

    Wells Fargo (Syracuse, NY)
    …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) ... Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must… more
    Wells Fargo (08/30/25)
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