- Citigroup (New York, NY)
- … 65 (or Series 66); Series 9 + Series 10 (or Series 24, Series 4 , and Series 53) + Must meet ALL US FINRA Registration requirement within ... Excellent communication skills and interpersonal relationships with ability to influence. + Required: US FINRA Registration: SIE; Series 7; Series 63 + Series… more
- Truist (Richmond, VA)
- …in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series… more
- Truist (Atlanta, GA)
- …+ 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible Employees of ... individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in lieu of 53. Series… more
- Truist (Charlotte, NC)
- …+ 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible ... individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in lieu of 53. Series… more
- Citizens (Westwood, MA)
- …and business software programs (Excel, SharePoint, OneDrive, Salesforce) Preferred Qualifications + Series 4 + Experience with National Financial Services (NFS) ... Required Qualifications: + Licensing Requirements: Must hold active FINRA Series 7, 24, and 63 licenses. In addition, candidates...fully trained then the potential for hybrid work schedule: 4 in office and up to 1 day work… more
- City National Bank (Los Angeles, CA)
- …Demonstrated use of effective sales and communication skills. * Registered Representative with a FINRA Series 4 , 53, and Series 57 preferred. *WHAT'S IN IT ... years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA... 7 and 63 or 66 licenses * FINRA Series 24: General Securities Principal *Additional Qualifications* * Knowledge… more
- US Bank (St. Louis, MO)
- … 7, Series 24, and Series 63 or 66 required. Also, Series 4 required and/or must be willing to obtain within 180 days** Preferred Skills/Experience: ... - Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business - Intermediate understanding of the business line's operations, products/services, systems, and associated… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the… more
- Raymond James Financial, Inc. (Southfield, MI)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the… more
- PNC (PA)
- … 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 preferred. **Benefits** ... all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk manager to… more