- Citigroup (Queens, NY)
- … 65 (or Series 66); Series 9 + Series 10 (or Series 24, Series 4 , and Series 53) + Must meet ALL US FINRA Registration requirement within ... Excellent communication skills and interpersonal relationships with ability to influence. + Required: US FINRA Registration: SIE; Series 7; Series 63 + Series… more
- Truist (Richmond, VA)
- …+ 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible ... individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in lieu of 53. Series… more
- Bank of America (Charlotte, NC)
- …(CAMS) + Knowledge of anti-money laundering (AML) regulation and guidance for broker-dealers + SIE, Series 3, Series 4 , Series 7, and/or Series ... 24 licenses + Experience interacting with Front Line Units & Customers/Clients + Knowledge of FICC or Equity products and services and/or Prime Brokerage + Law enforcement background + Excellent written and verbal communication skills + Self-starter capable… 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. (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. (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 ... **Licenses/Certifications:** + The ability to obtain the SIE and Series 99 within 120 days (as required by FINRA)...qualified to register as an Operations Professional ( Series 99) without passing the examination. **Travel Required:** +… 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 of Series 66). Life/Health and Variable Insurance Licensing are strongly preferred + **6-8 + years… more
- City National Bank (Los Angeles, CA)
- …Demonstrated use of effective sales and communication skills. * Registered Representative with a FINRA Series 4 , 53, and Series 57 preferred. *WHAT'S IN IT ... years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA... 7 and 63 or 66 licenses * FINRA Series 24: General Securities Principal *Additional Qualifications* * Knowledge… more
- Louisiana Department of State Civil Service (Baton Rouge, LA)
- …inspection in Section 40, Gang 005. Engineering Technician positions are in a training series capped at Engineering Technician 4 . Engineering Technicians 1 - ... of responsibility and complexity of the cap of the training series , Engineering Technician 4 . In order to clearly distinguish between the four levels in… more
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