- Robinhood (Chicago, IL)
- …and final approved marketing pieces What you bring: Bachelor's Degree FINRA Series 7 and 24, Series 4 is nice to have 7+ years working in compliance or ... communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies. The role is located in the office… more
- Equitable Advisors (Atlanta, GA)
- …a positive impact in the lives of its clients. Our network of over 4 ,300 financial professionals across the US is committed to fostering relationships that help ... achieve meaningful financial wellness. In total, Equitable Advisors serves 2. 4 million clients nationwide. Our mission is simple: to...work experience Licensing : State Life & Health, SIE, Series 7, Series 66 Personal Attributes :… more
- Equitable Advisors (New York, NY)
- …a positive impact in the lives of its clients. Our network of over 4 ,300 financial professionals across the US is committed to fostering relationships that help ... achieve meaningful financial wellness. In total, Equitable Advisors serves 2. 4 million clients nationwide. Our mission is simple: to...work experience Licensing : State Life & Health, SIE, Series 7, Series 66 Personal Attributes :… more
- Fidelity Investments (Burlington, MA)
- …and Fitness Reimbursement. Certifications: You will be given paid time and support to obtain SIE - FINRA , Series 07 - FINRA , Series 66 - FINRA ... sponsored by Fidelity. This includes paid, on-the-job study time 4 days a week, support from licensing coaches, group...Certifications: Series 07 - FINRA , Series 66 - FINRA Category: Customer Service… more
- AQR (Greenwich, CT)
- …and investment strategies for compliance with applicable global regulations (eg, SEC Rule 206( 4 )-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm ... reviewing marketing material, preferably with an investment adviser or broker-dealer Series 7 and 24 licenses required Strong understanding of the regulatory… more
- US Bank (Hopkins, MN)
- …regression techniques (linear, logistic), parametric and non-parametric algorithms, times series techniques (ARIMA, GARCH), and other statistical models, various ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Raymond James Financial, Inc. (Birmingham, AL)
- …Certifications Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory ... 66 or the ability to obtain them within four ( 4 ) months from the start of the program. Life,...Authority ( FINRA ), Series 65 or Series ...Authority ( FINRA ), Series 65 or Series 66_RA - Investment… more
- Thrivent (Santa Clarita, CA)
- …you obtain your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor onboarding ... or equivalent experience. Military veterans are encouraged to apply. Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting.… more
- Truist (Charlottesville, VA)
- …environment, preferably focusing on outbound sales calls. 6. Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 licenses or actively pursuing these ... anticipating the time frame required for presentation and answering of questions. 4 . Maximize sales opportunities by contacting potential investment clients based on… more
- Empower Annuity Insurance Company of America (Moosic, PA)
- …upon direction from the customer Receive the opportunity to train and study to obtain FINRA Series 6 & 63 licenses What you will bring Availability to work ... candidates must be willing to come into the office 4 to 6 times per year ** 30 ED...English and Spanish Financial Services or call center experience FINRA series 6 and 63 or higher… more
- Voya Financial, Inc. (Hartford, CT)
- …knowledge and working knowledge of project management and marketing communications. Licensure Requirements: FINRA Series 6 and 63. Series 7 preferred. ... (up to 6%) Voya Retirement Plan - employer paid cash balance retirement plan ( 4 %) Tuition reimbursement up to $5,250/year Paid time off - including 20 days paid… more
- Voya Financial, Inc. (Boston, MA)
- …production and customer satisfaction goals. Accountable for adherence to firm's FINRA (and other regulatory) supervisory guidelines and procedures Attainment of ... sales management experience of 5 - 7 years is preferred. Licensure required Series , 7, 24, 63, 65/66. Identified individual will exhibit strong sales and customer… more
- Suncoast Credit Union (Cape Coral, FL)
- …CRPC, etc.) *Minimum of 5 years of financial planning, investment advisory, or wealth management experience * FINRA Series 7 and Series 66 (or 63 and 65), and ... Florida Health and Life with Variable Annuity insurance 2-15 required * FINRA Record (U4) with no unacceptable entries *Demonstrated rolling two-year average of $350K… more
- Voya Financial, Inc. (Los Angeles, CA)
- …experience with the Retirement Plan/Investment industry, proven track record of sales success FINRA Series 6 and 63 State Life and Health Excellent communication ... (up to 6%) Voya Retirement Plan - employer paid cash balance retirement plan ( 4 %) Tuition reimbursement up to $5,250/year Paid time off - including 20 days paid… more
- Corebridge Financial (Linthicum Heights, MD)
- …preferred Two plus years of experience working as a Financial Advisor A successful sales track record FINRA Series 6 or 7 licenses and a Series 63 and 65 or ... role is deemed a "covered associate" under SEC Rule 206( 4 )-5, 17 CFR | 275.206( 4 )-5, Political contributions by certain investment advisers, and other federal… more
- Siebert Williams Shank (Chicago, IL)
- …Investment Banking Analyst to join its Infrastructure and Public team and work hybrid ( 4 days in-office) from its Chicago, IL office. At SWS, all bankers are an ... securities broker-dealer and member of the Financial Industry Regulatory Authority ( FINRA ) and the Municipal Securities Rulemaking Board (MSRB). Our diverse… more
- Equitable (Charlotte, NC)
- …Required Qualifications: Bachelor's degree 4 years investment advisory experience FINRA Licenses Series 7, 24, and 66 required Demonstrated relationship ... management, sales, customer service, and presentation skills in large and small group settings - in person and virtually Managed account, mutual fund, and brokerage experience Financial planning experience Preferred Qualifications: Industry designations… more
- Truist (Hendersonville, TN)
- …degree in Business, Accounting, Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7, 66 (63 and 65 in lieu of 66) licenses. 3. ... and inquiries, and ensure client files are correctly completed and maintained. 4 . Remain knowledgeable of and familiar with all products currently offered by… more
- Modern Woodmen of America (Nashville, TN)
- …Ability to obtain or already hold: an active life insurance license, FINRA securities registration (Securities Industry Essentials(R)/SIE), Series 6 and/or 7 ... to make a difference in your community! In 2024, Modern Woodmen spent $17. 4 million in support of fraternal programs for members in hometown communities of… more
- First Horizon (Maryville, TN)
- …and customer service skills. General banking and operations experience is helpful 5. FINRA Licenses : Series 7, 66/63 preferred 6. Appropriate State Life ... and/or abilities required in this position: 1. 0-2 years' experience required; 2- 4 years' experience preferred 2. High School diploma required for consideration (or… more
