- DXC Technology (Tulsa, OK)
- …processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support, ... Quality Assurance (QA) support, including enhanced QA reviews for FINRA -registered associates handling variable investment transactions. **Qualifications** **Required:** +… more
- ADP (Florham Park, NJ)
- …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
- 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 be used ... industry rules, regulations, and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong knowledge in field of… 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 are… more
- Truist (Charlotte, NC)
- …Business owner of a product, system or application of the Truist Wealth platform including but not limited to: account opening, Intranet: e-sign, workflows and other ... teammate facing applications and tools for the Truist Wealth organization. Responsible for defining the strategy, analyzing potential solutions and driving implementation of initiatives to meet business goals. ESSENTIAL DUTIES AND RESPONSIBILITIES Following is… more
- TD Bank (Vienna, VA)
- …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)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Knowledge and understanding of Annuity and… 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
- Wells Fargo (New York, NY)
- …generation of cross-sector research content This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... 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
- Wells Fargo (Jacksonville, FL)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... the time + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
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