- Truist (New York, NY)
- …+ Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7 , 52, 53 + Strong knowledge of trading floor ... 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 (Richmond, VA)
- …experience. + Audit experience. + Strong knowledge in field of assigned business unit(s). + FINRA Series 7 , 24, 53, and 66 licenses (Series 9&10 can be used ... in lieu of 53, Series 63 & 65 can be used in lieu of Series 66). **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week… more
- DXC Technology (Tulsa, OK)
- …**Customer service experience in financial services, insurance, investments, or banking.** + **Active FINRA Series 6 or 7 certification** (or U5 status within ... processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support,… more
- Wells Fargo (Chicago, IL)
- …7 + years of experience sourcing and recruiting Financial Advisors/Wealth Advisors + FINRA registration including Series 7 (or FINRA recognized ... the time + This position is not eligible for Visa sponsorship + Registration for FINRA Series 7 must be completed within 90 days of hire date if it is not… more
- Truist (Richmond, VA)
- …+ Master's degree in finance or business, or equivalent education and related training. + ** FINRA Series 4, 7 , 24, 53, and 66 licenses (Series 9 &10 can ... industry rules, regulations, and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong knowledge in field of… more
- TD Bank (Vienna, VA)
- …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...+ State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA… more
- Jackson National Life Insurance Company (Nashville, TN)
- …required.** **Experience working in a professional office environment preferred.** ** FINRA SIE, FINRA Series 6 or 7 , FINRA Series 63, State Insurance ... 6, 63 and State Life Insurance License registration within 90 days. Additional FINRA licensing may be required. + Completes assigned projects in a timely manner.… more
- 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 66 ... training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or … more
- Wells Fargo (Durango, CO)
- …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA ... ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must be completed… more
- Hantz Group (Saginaw, MI)
- …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... organizational skills + Basic database skills + Proficient in Microsoft Office + Series 7 Licensed Preferred + Must be Able to Obtain Required Licenses* Benefits: +… more
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