• Merrill Market Client Relationship Manager

    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 (05/30/24)
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  • Merrill Market Client Relationship Manager

    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 (05/22/24)
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  • Merrill Market Supervision Manager

    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 (05/07/24)
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  • Market Client Relationship Manager

    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 (04/12/24)
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  • Market Supervision Manager

    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 (04/09/24)
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  • Market Supervision Manager

    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 (04/03/24)
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  • Private Wealth Market Client Relationship Manager

    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
    Bank of America (05/12/24)
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  • GCO Risk Advisory Specialist- Wealth Brokerage…

    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
    Truist (06/05/24)
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  • Wealth Management Advisory Consultant II

    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
    TIAA (05/25/24)
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  • Supervisor, Operations | Branch & Concierge…

    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
    Raymond James Financial, Inc. (05/16/24)
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