- Truist (Richmond, VA)
- …relevant 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… more
- Equitable (Milwaukee, WI)
- …**Qualifications** **Required Qualifications** + 1 Years experience in Compliance roles + FINRA Series 7 , 65 or 66 registrations + ... FINRA Series 24 or must obtain within 60 days of...Life, Annuity and Investment/ Advisory Products **Preferred Qualifications** + FINRA Series 51 preferred + Ability to… 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 in lieu of 53, Series 63 & 65 can be used in lieu...and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong… 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 ... processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide inbound customer service support,… more
- PNC (Pittsburgh, PA)
- …be based at our Tower at PNC Plaza. **Job Description** + Licensing requirements: Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA ... Series 99 required. PNCI Product - FINRA Series 7 required. In addition, a combination of the following licenses will be required based on the incumbents… more
- TD Bank (Vienna, VA)
- …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 ... to obtain within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA Series 63 (Preferred) +… more
- Wells Fargo (St. Louis, MO)
- …training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or ... as an adept advisor to leadership **Required Qualifications:** + 7 + years of Product Management, product development, strategic planning,...is not eligible for Visa sponsorship + Registration for FINRA Series 24 must be completed within… more
- Wells Fargo (Metairie, LA)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within a 90-day… more
- Wells Fargo (San Diego, CA)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within either a… more
- Wells Fargo (St. Louis, MO)
- …training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 65/66 examinations (or ... Expectations:** + This position is not eligible for Visa sponsorship + Registration for FINRA Series 24 must be completed within 90 days of hire date if it is… more