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The position will work with compliance/operational processing and back office systems designed to retain required records specific to the B/D and investment advisory businesses, including New Accounts, Commissions, Licensing, FINRA Registration and Brokerage Services.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or must be completed within a specified period. For the following states where hired, FINRA Series 65 (or equivalent) will also be required to be completed within a specified period: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
Full-timeExpandApply NowActive JobUpdated 18 days ago - UpvoteDownvoteShare Job
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US: Current Registration for FINRA series 6, 63, and 65 are required for the role. Ensure that KYC/AML and other compliance norms are strictly adhered to. Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to qualify for immediate registration. The Nationwide Mortgage Licensing System (NMLS) website ( provides the MU4R questions and registration required for employment in this position.
Full-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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Upon required licensing and SAFE registration, the Senior Branch Premier Banker LP (SAFE) employee will transition to the Senior Branch Premier Banker (SAFE) role. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.
Full-timeExpandApply NowActive JobUpdated 18 days ago - UpvoteDownvoteShare Job
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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For the following states where hired, FINRA Series 65 (or equivalent) examination will also be required to be attempted within a specified period of time: AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, and WY. The State of WY permits referral-only licensed bankers to receive the IAR registration without completing the Series 65/66 exam requirement.
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FINRA Series 65 registration required. FINRA Series 63 required. FINRA Series 7 required. Non-sales positions have the opportunity to participate in a bonus program. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet.
Full-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
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Upon required licensing and SAFE registration, the Relationship Banker LP (SAFE) employee will transition to the Relationship Banker (SAFE) role. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.
Full-timeExpandApply NowActive JobUpdated 18 days ago - UpvoteDownvoteShare Job
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FINRA registration including series 9/10 (or FINRA recognized equivalents) Registration for FINRA Series 66 (or 63 and 65) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire.
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Client Success Advisor in the Wealth Management tier ($250,000 to $1,000,000 in managed assets) with Empower, you will spend your day focused on expanding the wallet share of Empower retail clients in the Wealth Management segment.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required.
ExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Successfully completed FINRA Series 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents) Successfully completed FINRA Series 7 and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required? FINRA recognized equivalents will be accepted.
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FINRA registration including Series 63 (or FINRA recognized equivalents) FINRA registration including Series 7 (or FINRA recognized equivalents) In addition to state registration, specific product licenses or SAFE licensing may apply.
ExpandApply NowActive JobUpdated 11 days ago
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