• FINRA Supervisory Principal - PNC…

    PNC (PA)
    …position may not be available in all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65). Series 24 (9/10). + ... 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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  • Insurance Customer Support / FINRA

    DXC Technology (Tulsa, OK)
    …+ **Customer service experience in financial services, insurance, investments, or banking.** + **Active FINRA Series 6 or 7 certification** (or U5 status ... processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support,… more
    DXC Technology (08/26/25)
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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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  • Central Supervision Analyst

    TD Bank (Greenville, SC)
    …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 ... to obtain within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA Series 63 (Preferred) +… more
    TD Bank (08/14/25)
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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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  • Associate Bank Financial Advisor

    Wells Fargo (Durango, CO)
    …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or ... Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA recognized… more
    Wells Fargo (08/22/25)
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  • Trading Enablement Assistant

    Wells Fargo (Salt Lake City, UT)
    …affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or FINRA more
    Wells Fargo (08/08/25)
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