- Fidelity (Covington, KY)
- …1. Licensing Preparation In the first months, you'll prepare to become a FINRA (Registered Representative by studying for and obtaining your SIE, Series 7, and ... Skills You Bring Aptitude and dedication to complete the FINRA SIE , Series 7 Top Off and Series...work visas for this role Certifications: Series 07 - FINRA , Series 63 - FINRA Category: Customer… more
- Usaa (Tampa, FL)
- …model. Experience with Virtual Technology and ability to deliver training remotely. Current FINRA Series 7 and/or attainment within 90 days of job entry. Current ... within 90 days of job entry. What sets you apart: Current FINRA Series 7. Current FINRA Series 63 and/or attainment within 90 days of job entry. Current… more
- Scotia Capital (USA), Inc. (New York, NY)
- …role requirements, expected candidate experience, and accompanying qualifications. $225,000/yr & 40 hrs/wk. FINRA SIE req'd. FINRA Series 7 req'd. FINRA ... Series 63 req'd. xhqgsiq Pls apply directly thru by searching for Associate Director, Exotic Equity Derivatives Trader & indicate job code JK110425AD. JobiqoTJN. Keywords: Trader, Location: New York, NY - 10060 more
- Usaa (Phoenix, AZ)
- …required 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 financial… more
- Usaa (Phoenix, AZ)
- …required 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. 4 years of financial… more
- Charles Schwab (Naples, FL)
- …this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client communication… more
- Charles Schwab (Savannah, GA)
- …this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client communication… more
- Charles Schwab (Huntersville, NC)
- …this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required?? Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job.?? Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- Charles Schwab (Vienna, VA)
- …or CFP highly preferred Bachelor's degree highly preferred Required Qualifications Active & valid FINRA Series 7 license Active & valid FINRA Series 66 (63/65) ... license Active & valid Life & Health insurance 7+ years financial services industry experience 2+ years Ultra- HNW client experience Pursuant to SAFE Act requirements, all employees engaged in residential loan mortgage originations must register with the NMLS… more
- Charles Schwab (Asheville, NC)
- …this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client communication… more
- Usaa (Phoenix, AZ)
- …through military service or a military spouse/domestic partner Current / Active FINRA Series 7 Current / Active Life/Health license CFP (Certified Financial ... Planner), CLU (Chartered Life Underwriter), or RICP (Retirement Income Certified Professional) designations 10 or more years of experience with wholesaling, sales training, and coaching on financial service products. Previous leadership experience with strong… more
- Fidelity (Omaha, NE)
- …and the rules and regulations of numerous self-regulatory organizations, including FINRA , among others. Those laws and regulations may restrict Fidelity from ... hiring and/or associating with individuals with certain Criminal Histories. Customer service jobs at Fidelity Connect with customers, listen, and act with empathy as you work to understand their long-term goals. Company overview At Fidelity, we are passionate… more
- Intrua Financial, LLC (Houston, TX)
- …to adhere to rules and regulations as stated and required by Advisors and FINRA is required. Larson Financial Group offers a generous employee benefits & perks ... package: Profit Sharing Bonus Program 401(k) Employer Match up to 4% Medical Insurance (HDHP HSA plans FREE for employee only) Dental, Vision, Life/Disability Insurance & Supplemental Insurance Paid time Off (112 hours after 90 days) Holiday Pay (12 Holidays)… more
- New York Life - Northern California (Roseville, CA)
- …Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA /SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V ... 1-Full-time agents and their dependents are immediately eligible for medical, dental, vision, long-term disability, and group term life insurance. New York Life reserves the right to amend or terminate any benefit plans, in whole or in part, at any time.… more
- Northwestern Mutual (Franklin, WI)
- …guidelines and requires fingerprinting and completion of required form.Non-Registered Fingerprinted - FINRA Compensation Range: Pay Range - Start: $22.65 Pay Range - ... End: $33.98 Geographic Specific Pay Structure: Structure 110: Structure 115: We believe in fairness and transparency. Ita€ (TM) s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the… more
- Northwestern Mutual (Franklin, WI)
- …and requires fingerprinting and completion of required form.Non-Registered Fingerprinted - FINRA Compensation Range: Pay Range - Start: $76,650.00 Pay Range - ... End: $142,350.00 Geographic Specific Pay Structure: Structure 110: $84,350.00 USD - $156,650.00 USD Structure 115: $88,130.00 USD - $163,670.00 USD We believe in fairness and transparency. Ita€ (TM) s why we share the salary range for most of our roles.… more
- Northwestern Mutual (Champaign, IL)
- …and requires fingerprinting and completion of required form.Non-Registered Fingerprinted - FINRA Compensation Range: Pay Range - Start: $60,340.00 Pay Range - ... End: $112,060.00 Geographic Specific Pay Structure: Structure 110: $66,360.00 USD - $123,240.00 USD Structure 115: $69,370.00 USD - $128,830.00 USD We believe in fairness and transparency. Ita€ (TM) s why we share the salary range for most of our roles.… more
- PNC (Pittsburgh, PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Wealth Management, you may be based in a remote ... be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7, 66 (or 63/65), 24 (or 9/10)...66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review.… more
- KeyBank (Denver, CO)
- …1-year experience in brokerage or financial services (required) **Licenses and Certifications** + FINRA License S6 (required) + FINRA License S63 (required) + ... FINRA Security Industry Essentials (SIE) (required) + FINRA Series 7 and Life Insurance (preferred) **Skills** + Investment Knowledge: Working knowledge of… more
- Santander US (Miami, FL)
- SEC/ FINRA Regulatory Controls & Operational Oversight - VP Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator ... team to review, monitor and track controls related to SEC/ FINRA regulations. * Work with control team to ensure...to help assess and escalate identified issues related to SEC/ FINRA regulatory controls. 5. Change Management * Partner with… more
Related Job Searches:
Compliance Officer Finra,
Finra Securities Specialist Investigator,
Finra Series 7,
GCO Risk Advisor Finra,
Implementation Project Manager Finra,
Investment Associate Finra Registered,
Resolution Support Specialist Finra,
Retirement Service Representative Finra,
Retirement Services Rep Finra,
Simple IRA Specialist Finra