- Truist (New York, NY)
- …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
- DXC Technology (Tulsa, OK)
- …Assurance (QA) support, including enhanced QA reviews for FINRA -registered associates handling variable investment transactions.** **Mandatory Qualifications:** ... **Customer service experience in financial services, insurance, investments, or banking.** **Active FINRA Series 6 or 7 certification (or U5 status within the 2-year… more
- KeyBank (Fife, WA)
- …1 year 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
- 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 rules and ... regulations, order management systems, transaction execution workflows from input through settlement. + Strong knowledge of trade reporting and pre and post trade controls with ability to point out gaps in the control environment and create new actionable… more
- ADP (Allentown, PA)
- …+ Serve as a subject matter expert in handling routine client requests for ADP clients + Resolve routine customer concerns with pre-defined solutions + Answer ... non-technical questions regarding ADP products + Provide consultation and help answer non-technical questions supporting less-experienced specialists on the team + Learn and navigate ADP systems in order to respond to issues **QUALIFICATIONS REQUIRED:** + At… more
- Wells Fargo (Minneapolis, MN)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... + Ability to gather, organize, and interpret data + FINRA registration including Series 66 (or FINRA ...+ FINRA registration including Series 66 (or FINRA recognized equivalents) + FINRA registration including… more
- TD Bank (Greenville, SC)
- …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 (Charlotte, NC)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or FINRA recognized ... associates and business units; including managers and advisors + FINRA registration including Series 65 or 66 (or ...FINRA registration including Series 65 or 66 (or FINRA recognized equivalents) **Job Expectations:** + US Only: Registration… more
- Wells Fargo (Raleigh, NC)
- …the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or ... FINRA recognized equivalents) **Desired Qualifications:** + Successfully completed FINRA Series 63 and 65 (or 66) exams to qualify for immediate registration (or … 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
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