• Wealth Regional Supervisor Specialist Team Leader

    Truist (Richmond, VA)
    …experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of Available Benefits for ... **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 (07/08/25)
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  • VP, Operations, Cost Basis & Tax Reporting

    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 ... FINRA), provided that an exemption or grandfathering cannot be applied. + ** Series 99 and Series 7 required,** or ability to obtain within 120 days (as required… more
    Raymond James Financial, Inc. (08/12/25)
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  • Wealth Regional Supervisor - Account Opening

    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 (08/08/25)
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  • FINRA Supervisory Principal - PNC Investments

    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 preferred. **Pay ... all geographic locations. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10). + Partners with regulatory risk manager to… more
    PNC (08/29/25)
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  • Supervisor, Operations - Training, QA,…

    Raymond James Financial, Inc. (Memphis, TN)
    …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. (08/20/25)
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  • Supervisor, Operations | Tax Reporting Dept |

    Raymond James Financial, Inc. (Memphis, TN)
    …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. (08/14/25)
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  • Supervisor, Operations | Customer Accounts |

    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
    Raymond James Financial, Inc. (07/25/25)
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  • Supervisor, Operations - Reconciliation

    Raymond James Financial, Inc. (Memphis, TN)
    …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 ... **Licenses/Certifications:** + The ability to obtain the SIE and Series 99 within 120 days (as required by FINRA)...qualified to register as an Operations Professional ( Series 99) without passing the examination. **Travel Required:** +… more
    Raymond James Financial, Inc. (06/09/25)
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  • GFCC Investigator (Brokerage) - Specialized AML…

    Bank of America (Chicago, IL)
    …independently + Communications, attention to detail, research/investigative knowledge **Desired Qualifications:** + Series 4 , Series 24 licenses preferred + ... and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience + Knowledge related to retail and/or… more
    Bank of America (08/28/25)
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  • Asset & Wealth Management - Vice President…

    JPMorgan Chase (Tampa, FL)
    …duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 ( 4 ,24,53) + A valid Series 4 is required or must be obtained within 90 days of ... supervision of $2.1 trillion and assets under management of $1. 4 trillion. JP Morgan Private Bank has been helping...supervision of $2.1 trillion and assets under management of $1. 4 trillion. With Private Bank advisors in 110 offices… more
    JPMorgan Chase (08/15/25)
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