- Citizens (Boston, MA)
- …the broker-dealer. This individual must have the appropriate FINRA registrations, including but not limited to: Series 4 , Series 7, Series 24, Series ... for incident management and investigation. Qualifications: + FINRA licenses requires - Series 7, 4 , 24, 63, 65 (or 66). + Bachelors degree preferred + 10+… more
- Citizens (Johnston, RI)
- …a team, provide effective feedback and coaching to staff. + Insurance licensure and Series 4 preferred. + Strong verbal and written communication skills + Strong ... + Minimum of 6 years of industry experience in compliance or supervision is required. + Series 7, Series 66 (or Series 63 and Series 65) and Series … more
- Raymond James Financial, Inc. (NJ)
- …(Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... an exemption or grandfathering cannot be applied. + FINRA Series 7 and the ability to obtain within ninety...the ability to obtain within ninety (90) days. + Series 99, or ability to obtain within 120 days… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …_(Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied._ + ** Series 99** , _or ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the examination.)_ + _Ability to… more
- Raymond James Financial, Inc. (Southfield, MI)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. * ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the examination. **Education** High School… more
- Raymond James Financial, Inc. (Memphis, TN)
- …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... that an exemption or grandfathering cannot be applied. * ** Series 99 required,** or **ability to obtain within 120...qualified to register as an Operations Professional ( Series 99) without passing the examination. **Education** High School… more
- Bank of America (Chicago, IL)
- …+ Has supervisory licenses of an 8 (or 9 and 10 combined) or possesses a Series 4 , 24 and 53, or is able to obtain any/all required licenses within a specified ... prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Has Series 7 and 66,or is able to obtain any/all required licenses… more
- Bank of America (Las Vegas, NV)
- …+ Has supervisory licenses of an 8 (or 9 and 10 combined) or possesses a Series 4 , 24 and 53, or is able to obtain any/all required licenses within a specified ... prioritizing, inspecting and appropriately delegating team work. **Required Qualifications:** + Has Series 7 and 66, or is able to obtain any/all required licenses… more
- JPMorgan Chase (San Francisco, CA)
- …4 ,24,53), appropriate State Life & Health Insurance license + A valid and active Series 4 and appropriate State Insurance licenses are required or must be ... obtained within 90 days of starting in the role as a condition of employment + Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products and industry practices. + Ability to provide clear, concise and… more
- Hospice Of San Joaquin (Stockton, CA)
- …care. PRE-EMPLOYMENT REQUIREMENTS: 1. Health Screening 2. TB Screening 3. Hepatitis B Series offered 4 . Background Check 5. Reference Check 6. Drug Screening ... 3. Work with IDT to develop plan of care. 4 . Provide direction for social services, home health aides,...assigned RN Case Manager and Home Health Aide Coordinator. 4 . Makes recommendations to IDT for action/follow-up of newly… more
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