- PNC (Pittsburgh, PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Wealth Management, you may be based in a remote ... be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7, 66 (or 63/65), 24 (or 9/10)...66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review.… more
- Santander US (Miami, FL)
- SEC/ FINRA Regulatory Controls & Operational Oversight - VP Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator ... team to review, monitor and track controls related to SEC/ FINRA regulations. * Work with control team to ensure...to help assess and escalate identified issues related to SEC/ FINRA regulatory controls. 5. Change Management * Partner with… more
- Truist (Atlanta, GA)
- …review the following job description:** The Business Unit Risk Advisor Specialist II- FINRA engages with the Investment Banking and Capital Markets Business Unit ... stakeholders to support The Business Unit Risk Advisor Specialist II- FINRA is a role within the Investment Banking and Capital Markets (IBCM) Business Unit Risk… more
- ADP (El Paso, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities...degree preferred, or equivalent of experience and education + FINRA Series 6 and 63 securities licenses and Securities… more
- KeyBank (Denver, CO)
- …of experience in brokerage or financial services (required) **Licenses and Certifications** + FINRA License S7 within 120 Days (required) + FINRA License S63 ... within 120 Days (required) **Tactical Skills** + Working knowledge of investment products. + Demonstrated excellent organizational skills and a strong attention to detail. + Strong written and verbal communication. + Excellent computer skills: Word, Excel,… more
- Wells Fargo (Roseville, CA)
- …of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Strong client service skills + Strong… more
- Wells Fargo (New York, NY)
- …the following: work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA ... + US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. … more
- Wells Fargo (New York, NY)
- …and oral communication skills **Job Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of hire date if it is not ... available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180 days of… more
- TD Bank (Marlton, NJ)
- …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of ... experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA Series 9/10) (Required… more
- Wells Fargo (Salt Lake City, UT)
- …leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... client support experience or financial services industry experience + Successfully completed FINRA Series 9/10 (or FINRA recognized equivalents) + Demonstrated… more
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