- Charles Schwab (Tysons Corner, VA)
- …have Required Qualifications: CFP(R) designation or CFA(R) designation Bachelor's degree Active and valid FINRA Series 7 license May be obtained with a ... 120-day condition of employment Active and valid FINRA Series 66 license required May be obtained with a 120-day condition of employment Five or more years of… more
- Charles Schwab (Orlando, FL)
- …may be the opportunity for you. What you have Required Qualifications: Bachelor's degree Active FINRA Series 7 license (May be obtained with a 120-day ... current CFP(R) designation or CFA(R) designation holders, verified before hire) Active FINRA Series 66 license (May be obtained within the first 120 days) Three… more
- Charles Schwab (Bellevue, WA)
- …(may consider 24 month condition of employment) Bachelor's Degree required Active and valid FINRA Series 7 license required Active and valid FINRA ... 66 license required (may consider a 120-day COE) Active and valid FINRA 9/10 required (may consider a 120-day COE) Five plus years' experience in the financial… more
- Principal Financial Group (Miami, FL)
- … 6 or equivalent and FINRA Series 63). Preference for FINRA Series 7 & 66. **Successful candidates will have the following:** + Excellent ... communication, presentation, analytical, and interpersonal skills. + Successful history of accomplishments in education, retirement sales, or a related field. + Ability to work both independently and collaboratively. **Salary Range Information** Salary ranges… more
- Charles Schwab (Phoenix, AZ)
- …Investment strategy. What you have Required Qualifications: Undergraduate degree required Active and valid FINRA Series 7 license required Active and valid ... FINRA 66 licenses required (may be obtained with a 120-day COE) Minimum 2 year of experience in the financial services industry working directly with clients Preferred Qualifications: Experience servicing high-net-worth clients General understanding of… more
- Ally (Austin, TX)
- …or Banking Risk Management (eg, testing and monitoring, financial controls/SOX, or audit) required * FINRA Series 7 & 63 preferred * Strong understanding of ... Invest FINRA rules and regulations and Invest operations processes highly preferred * High level of problem-solving capability and research-oriented skills. *… more
- Principal Financial Group (Des Moines, IA)
- …does not require FINRA licensing, further development within this department would require FINRA Series 6 or 7 licensing. + Perform other job-related ... duties or special projects as required. **Who You Are** + High school graduate or equivalent. + Associate / Bachelor's degree with 1+ years of related work experience (financial services industry and/or operations) preferred. + Knowledge of the organization's… more
- Jobleads-US (Bethesda, MD)
- …What you have Required qualifications Bachelor's degree or equivalent work-related experience Active and valid FINRA Series 7 , 9/10 and 6 3 licenses 3 + ... years' experience with customer service 3-5 years in a security/financial services capacity Preferred qualifications Notary 2+ years' experience in a management/supervisory capacity Outstanding written and oral communication skills Previous experience in a… more
- Neuberger Berman (New York, NY)
- …of Excel and PowerPoint. + Visio experience a plus. + Bachelor's degree required. + FINRA Series 7 and 66 registrations a plus. \#LI-DD2 \#LI-Hybrid ... Compensation Details The salary range for this role is $115,000-$140,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the… more
- Principal Financial Group (Des Moines, IA)
- …at least seven years related experience in the institutional asset management industry + Active FINRA Series 7 and 63 (or 66) + Demonstrated expertise and ... posting will be available beyond the applicable deadline. **Original Posting Date** 10/ 7 /2025 **Most Recently Posted Date** 10/ 7 /2025 LinkedIn Remote Hashtag… more
- Principal Financial Group (Indianapolis, IN)
- …6+ years of related industry experience required with a strong preference to RIA experience. + FINRA Series 7 & 63 Licenses _required_ with the ability to ... meet firm standards for registration within applicable jurisdictions. + You'll be required to become a non-registered fingerprint person of PFD and PSI. + Strong oral and written communication skills required. + Ability to represent the company in a… more
- NatWest Markets (Stamford, CT)
- …ledger cash adjustments and reconciliation packages. **Requirements:** + Undergraduate Degree required; FINRA Series 99 and/or 7 preferred. + Minimum ... 3+ years' experience in Fixed Income Operations at an investment bank. + Strong understanding of Fixed Income products, collateral management, and reconciliation processing. + Familiarity with US regulatory requirements specific to Broker Dealer Operations. +… more
- Principal Financial Group (Minneapolis, MN)
- …partnering with advisors). + FINRA licensing required including SIE or equivalent, series 7 and 63 + Significant public speaking is required + Proficiency ... is extremely important + Demonstrated product expertise and broad understanding of overall product portfolio required + Knowledge of investment products and financial markets needed + Travel required **Salary Range Information** This position offers a… more
- Chandler Asset Management (San Diego, CA)
- …& Certifications: FINRA Financial and Operations Principal license (FINOP) required ( Series 27 or 28) Experience: 7 + years of progressive finance or ... audit preparation in compliance with GAAP and regulatory requirements (ie SEC, FINRA ). Partner with third-party ESOP administrators and trustees to support the… more
- Principal Financial Group (Des Moines, IA)
- …issues. + Strong proficiency with business unit products, processes and systems. + Active FINRA license - SIE and Series 6. + Strong proficiency with retirement ... the following: work experience, training, military experience, education. + FINRA licensing required - licensed required within 6 months...hours** The hours of operation for this department are 7 :00 am - 7 :00pm CST, Monday -… more
- Principal Financial Group (Kansas City, MO)
- …markets, partnering with advisors). + FINRA licensing required including SIE or equivalent and series 7 + Series 63 required within 45 days + Advanced ... designations preferred (eg, CFP(R), CFA(R), CIMA(R), CAIA(R)) + Excellent knowledge of investment products and financial markets required + Strong interpersonal skills, consultative skills, advisor management expertise, and analytical analysis are required +… more
- SMBC (New York, NY)
- …experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7 , 24, 79 a plus. SMBC's employees participate in a Hybrid ... Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements. + Ability to communicate this knowledge and applicability both verbally… more
- Principal Financial Group (Des Moines, IA)
- …is necessary + FINRA licensing required within 45 days of employment including SIE, Series 7 , Series 63 licenses + Requires ability to work independently ... + Persuasive written and verbal communication (including telephone) skills + Excellent presentation skills + Travel as needed to support territory or conference needs Preferred Skills: + Understanding of Exchange Traded Funds (ETFs), Separately Managed… more
- Principal Financial Group (Raleigh, NC)
- …and insurance as well as an appreciation of product features and market trends + FINRA Series 6 registration is required or must be obtained within 18 months ... degree in Finance, Accounting, or Business preferred + CPA designation and 7 + years related experience preferred + Understanding of nonqualified benefits programs… more
- SMBC (New York, NY)
- …thoughts and clearly articulate points + Licenses / Certifications / Registrations - SIE, Series 7 , 79 & 63 SMBC's employees participate in a Hybrid workforce ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
