- Unknown (Jersey City, NJ)
- …for and responsive to regulatory exams and inquiries. Applicants must have broker-dealer experience, a FINRA Series 7 License , and a Series 24 (or the ... ability to obtain within 4 months of hire). Significant AML experience within a FINRA-registered broker-dealer is essential, as is in-depth knowledge of current FINRA, SEC, state, and related regulations. The role demands a strong background in AML data,… more
- Unknown (Jersey City, NJ)
- …compliance with regulatory requirements. The ideal candidate will have a Broker-dealer experience, a FINRA Series 7 License , and a Series 24 (or the ... ability to obtain within 4 months of hire). Excellent communication skills, the ability to influence business decisions, and a proactive approach to building and maintaining strong internal and external relationships are essential. The VP/AML Compliance will… more
- Unknown (Detroit, MI)
- …speaker and hold the necessary licenses, including a FINRA Series 6 or 7 and 63 license in good standing, and a Life and Health license . A BA/BS degree ... or equivalent work experience is also required. The role is currently considered remote, with an estimated travel requirement of up to 50%. The company is an equal-opportunity employer and is committed to diversity, inclusion, and providing reasonable… more
- Charles Schwab (Atlanta, GA)
- …opportunity for you. **What you have** **What You Have** **Required** **qualifications** + Active and valid Series 7 license + Active and valid Series 66 ... be obtained within a 90-day condition of employment) + Active and valid Series 9/10 license required (may be obtained within a 90-day condition of employment) +… more
- Vanguard (Malvern, PA)
- …+ Undergraduate degree or equivalent combination of training and experience. + Active SIE and FINRA Series 7 license , and either the Series 66 or the ... and experience required. + This job requires a regulatory license and/or registration (eg FINRA, state, SFC). These will...equip you with the tools to take the FINRA Series 7 and 66. + A $1,500… more
- Insight Global (Kentwood, MI)
- …review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/. Skills and Requirements - Series 7 license AND -either ... Series 65 or 66 or Series 24 licenses -3+ years in financial compliance role...-customer focused attitude and ability to communicate effectively with multiple stakeholders and parties -understanding of financial audits series … more
- Charles Schwab (Portland, OR)
- …**Required Qualifications:** + Bachelor's degree or equivalent work-related experience + A valid and active Series 7 license required + A valid and active ... Series 66 (63/65) license required (may be obtained within a 90 day...day condition of employment) + A valid and active Series 9/10 (8) license required (may be… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Licenses/Certifications:** * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 license required. * Series 65 or ... university with a minimum of five (5) to seven ( 7 ) years' experience in a financial planning, investment management...required or ability to obtain within 90 days. * Series 9/10 or 24 required or ability to obtain… more
- Huntington National Bank (Austin, TX)
- …of Large Government/Higher Education/Non-Profit Lending related experience + Series 52 or Series 7 license Preferred Qualifications: + Series 63 ... licenses + Knowledge of all bank products and continual development of product expertise. + Possess proficiency in credit fundamentals and can determine the appropriate risks on new and prospective customers and transactions so that all relationships are… more
- Edward Jones (Tempe, AZ)
- …Minimum:** $55000 **Hiring Maximum:** $90600 Read More About Job Overview **Skills/Requirements** + Series 7 license that is currently active and has ... the best possible experience. Advocate for our more than 7 million clients through regulation communication, fraud protection and...held a minimum of one year + Must obtain Series 9, 10, 24, and 66 within 4 months… more
- JPMorgan Chase (Denver, CO)
- …sales team + Travel required 50% of the time **Required Licensing** + A valid and active Series 7 license is required or may be obtained within a 60-day ... Bachelor's degree in Business, Finance, or related field + 7 + years of experience in business development, project...Series 66 (63/65), and Life and Health Insurance license must be obtained within 60 days of starting… more
- Charles Schwab (Plano, TX)
- …Schwab's Investment Consultant role. **What you have** **Required Qualifications:** + A valid and active Series 7 license is required ( license may be ... employment through Branch Network Licensing Program) + A valid and active Series 66 (63/65) license required ( license (s) may be obtained under a condition of… more
- Charles Schwab (Menlo Park, CA)
- …(https://www.aboutschwab.com/what-we-do) **What you have** **Required Qualifications:** + A valid and active Series 7 license is required ( _license may ... through Branch Network Licensing Program_ ) + A valid and active Series 66 (63/65) license required ( _license(s) may be obtained under a condition of… more
- Charles Schwab (Phoenix, AZ)
- …quality service and the ability to implement our strategy. Required skills include: + Active FINRA Series 7 license + Series 66 (63/65) license ... + Life & Health Insurance license ( license (s) may be obtained under a 120 day condition of employment) Preferred: + Minimum of 5 years of financial experience +… more
- Charles Schwab (Atlanta, GA)
- …is for you. **What you have** + **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series ... consolidation, networking, and earning client referrals. If you currently have your securities license , enjoy working in a team setting, and share our passion for… more
- JPMorgan Chase (Wheaton, IL)
- …effectively with clients and team members while maintaining professionalism. + A valid and active Series 7 license is required or must be obtained within 60 ... in the role as a condition of employment + A valid and active Series 66 (63/65) license is required or must be obtained within 60 days of starting in the… more
- Charles Schwab (Orlando, FL)
- …bonus or incentive opportunities.** **What you have** **Required Qualifications:** + A valid and active Series 7 license is required + A valid and active ... Series 66 (63/65) license required ( _license(s) may be obtained under a condition of employment_ ) + Fluency in Spanish, Portuguese, or another relevant language… more
- Charles Schwab (Columbia, MD)
- …skills include: + Bachelor's degree or equivalent work-related experience + A valid and active Series 7 license required + A valid and active Series ... 120 day condition of employment) + A valid and active Life and Health Insurance license is required (may be obtained within a 120 day condition of employment) +… more
- USAA (Phoenix, AZ)
- …maintenance or ability to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license . + Required maintenance of FINRA Series 66 ... (or 63 and 65) license . + Must be able to successfully pass background check and meet all USAA and regulatory requirements. Additionally, applicant must have the ability to be licensed and registered in all required states and jurisdictions. + 1 year of… more
- JPMorgan Chase (Jacksonville, FL)
- …and foster team culture **Required qualifications, capabilities, and skills** + A valid and active Series 7 license is required + If you were registered ... Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license must be obtained within 60 days of starting in… more
