- DXC Technology (Tulsa, OK)
- …enhancing customer experience transformation **Registered Representative - Analyst I- FINRA Required** **Essential Job Functions-** . Provides service via inbound ... for general service teams and enhanced QA review required for FINRA registered associates performing transactions on products with Variable investment feature… more
- DXC Technology (Tulsa, OK)
- …for general service teams and enhanced QA review required for FINRA registered associates performing transactions on products with Variable investment feature ... ( FINRA governed) as needed/assigned. **Basic Qualifications** + High school diploma or GED + Two or more years of customer service or other telephone… more
- HSBC (New York, NY)
- …to all regulatory requirements, with a primary focus in the management of FINRA and SWAP Dealer licensed employees. As our Regulatory Risk Manager, FINRA ... you will: + Ensure adherence to CIB's Written Supervisory Procedures for FINRA and SWAP Dealer Supervision + Maintain and administer Supervisory Attestation Tool… more
- ADP (Dallas, 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
- Zions Bancorporation (Denver, CO)
- …quality. + Intermediate computer skills including word processing and spreadsheet software. + FINRA Series 79 (or grandfathered Series 7), Series 63 will be required ... but not limited to, level of experience, skills, expertise, location, education, FINRA licenses, and certifications. Benefits: + Medical & Dental Insurance &… more
- ADP (Florham Park, NJ)
- …REQUIRED:** + 1 year experience in a client service call center environment required. + FINRA 6 & 63 required A college degree is great but not required. What is ... more important is having the skills to do the job. Other acceptable experiences could include: * Experience noted above, OR * Military Experience. We recognize and appreciate the unique talents and experiences Veterans bring to the table. We value the… more
- Truist (Charlotte, NC)
- …**Preferred Qualifications:** + Master's degree in finance or equivalent science/academic field. + FINRA Series 79, 24 (may be required once on boarded if not ... already obtained) The annual base salary for this position is $150,000 - $205,000. **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20… more
- ADP (Allentown, PA)
- …Position, Jobs, Work **Unlock Your Career Potential: Customer Service at ADP.** It's all about enabling our customers to be more effective employers. Our Customer ... Service team makes it happen by collaborating with customers and other ADP colleagues to ensure our products and services deliver winning results. Did you know that the vast majority of our customers are not only satisfied, they'd recommend ADP to someone… more
- Wells Fargo (Oak Brook, IL)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... if necessary + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must… more
- Wells Fargo (New York, NY)
- …to resolve issues and achieve goals This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that...Expectations:** + Up to 10% travel + Registration for FINRA SIE must be completed within 180 days of… more
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