- Bank of America (Florham Park, NJ)
- …compliance to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum of 5+ years… more
- Bank of America (Cincinnati, OH)
- …and procedures **Key Qualifications for the role:** + Candidates are **required** to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum 5+ years professional… more
- Bank of America (Salt Lake City, UT)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- Bank of America (San Jose, CA)
- …delegating team work. **Key Qualifications for the role:** + Candidates are **required** to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum 5+ years professional… more
- Bank of America (Houston, TX)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- Bank of America (Mandeville, LA)
- …reputational risks. **Key Qualifications for the role:** + Candidates are **required** to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum 5+ years professional… more
- Bank of America (Chicago, IL)
- …and appropriately delegating team work. **Required skills:** + Candidates are **required** to currently hold Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) equivalent licenses + Minimum 5+ years professional experience required + Current or previous Merrill… more
- Truist (Charlotte, NC)
- …may be made to enable individuals with disabilities to perform the essential functions. 1. FINRA Series 7 , 24, 53 and 66 licenses ( Series 9&10 can be used ... GCO advisor team to successfully implement and document remediation. 7 . Support the business and the GCO governance &...in lieu of 4 and 53. Series 63&65 can be used in lieu of … more
- TIAA (Cincinnati, OH)
- …Preferred **Work Experience** + 3+ Years Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... 7IC **Required Qualifications:** + 3+ years of experience in financial services + FINRA Series 7 and Series 66 (or combination of 63 & 65) registrations must… more
- Raymond James Financial, Inc. (Memphis, TN)
- …+ **SIE required** _provided that an exemption or grandfathering cannot be applied._ + ** Series 7 required.** + ** Series 99 required** , _or ability ... to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7 , 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10,… more