, Oracle) Knowledge of and experience with the Capital Markets Regulatory Environment – (SEC, FINRA, CFTC, NFA, FED...
or more of commercial banking & relationship management experience 3. FINRA: Series 7, Series 66, Life, Health, and Variable insurance...
for those licensed prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed...
based on sound judgement 8. Financial Industry Regulatory Authority (FINRA) Series 7 Preferred Qualifications: 1.... FINRA Series 63 license General Description of Available Benefits for Eligible Employees of Truist Financial Corporation...
products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses (or 63 & 65 in lieu...
. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable Insurance... date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE Mortgage Licensing Act compliant...
on risk-related matters, including directly interfacing with external parties including the FRB, FINRA, OCC, State Regulators...
products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses (or 63 & 65 in lieu... for this position is $50,000.00 - $60,000.00. The annual base salary will be higher if candidates have all of the FINRA registrations...
, problem-solving and research skills Candidates with more years of experience may be considered for a senior role FINRA...
for those licensed prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed...