- Equitable (Los Angeles, CA)
- Wealth Management Associate - CA, Los Angeles (5100) ( 2400006B ) **Primary Location** : UNITED STATES-CA-Los Angeles **Organization** : Equitable Advisors ... their skills. We encourage pursuit of professional designations including CERTIFIED FINANCIAL PLANNER (TM) (CFP(R)) Professional and Chartered Financial Consultant… more
- Equitable (Fort Lauderdale, FL)
- Wealth Management Associate - FL, Ft Lauderdale (6008) ( 24000068 ) **Primary Location** : UNITED STATES-FL-Fort Lauderdale **Organization** : Equitable Advisors ... as a Financial Professional, Equitable Advisors will sponsor your pursuit of the FINRA licensing requirements as well as help you navigate state licensing needs. Our… more
- Morgan Stanley (Miami, FL)
- …exception requests are escalated to the home office. The role of the Review Associate is to evaluate these exception requests to apply a risk-based approach based on ... client, and the status of pending requirements. The Review Associate will exercise caution and sound risk judgment while...services industry, or at a financial services regulator (eg, FINRA , Office of the Comptroller of the Currency, Federal… more
- SMBC (Jersey City, NJ)
- …functions. * Relevant certifications in Microsoft Power Platform (eg, Microsoft Certified : Power Platform Functional Consultant Associate , Microsoft Certified ... the business to input any ESG data required for customer checklists used to measure against AD ESG thresholds...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- Morgan Stanley (Purchase, NY)
- …Qualifications / Skills:* * Experience with Rule 10b5-1 plans preferred * Certified Equity Professional (CEP) or Equity Compensation Associate (ECA) designations ... Banking/Origination, Wealth Management or other role in finance. * FINRA Licenses: Series 7 & 63 required. * Strong...work free from immediate supervision. * Positive and professional customer service attitude. * Willingness to work off hours… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …education, and/or training approved by Human Resources. **Licenses/Certifications** + A certified Associate in Project Management (CAPM) is preferred. + ... without organizational authority. + Provide a high level of customer service. + Communicate with all organizational levels effectively,...No FINRA licenses are required. **Job:** Administrative & Support Services… more