- ADP (Louisville, KY)
- …processes financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job ... an environment where you can continue to make a meaningful impact. + FINRA Series 6 /63/7 securities licenses and Securities Industry Essentials + 1+ year… more
- Alight (NC)
- …services/retirement plan benefits arena (7 years). + Have Series 6 or 7 and 65 or 66 securities licenses required. Series 9/10 or 24 and CFP highly ... recommended. + Have advanced knowledge of mutual funds, ETFs and employer sponsored retirement plans. + Have proficiency in managing/coaching others (3 years) in a Call Center environment. + Have intermediate compliance, regulatory and legislative knowledge in… more
- Truist (Philadelphia, PA)
- …industry knowledge 19. Effective presentation skills **Preferred Qualifications:** 1. Life License and Securities registration ( Series 6 & 63 minimum) along ... or exceeding quota. 5. Presents, conducts and organizes seminars for agents 6 . Demonstrates technical selling skills and product knowledge in areas of life,… more
- Aegon Asset Management (Denver, CO)
- …advisers. Qualifications + High School education or GED equivalent required. + Willing to obtain Series 6 /63 Securities Licenses within 6 months hire. + ... Willing to obtain resident state Life Insurance License within 6 months hire. + Resourceful and well organized. + Participate in proactive team efforts to achieve… more
- Citizens (Boston, MA)
- …Auditor, Certified in Risk and Information System Controls, or other relevant risk certifications, securities licenses (eg, Series 6 or 7) Hours & Work ... Schedule: Hybrid, 3 days in the office, 2 remote + Hours per Week: 40 + Work Schedule: Monday-Friday Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will… more
- Manulife (Boston, MA)
- …experience, preferably in phone and/or sales type roles. + A commitment to attain the Securities Industry Essentials, Series 6 , 63 plus state insurance and ... variable licenses within 4 months of hire + Passion for growing a territory with a positive attitude + Excellent relationship building, communication, presentation and negotiation skills + Superior business insight especially with retirement plan products and… more
- Thrivent Financial (Little Rock, AR)
- …Qualifications + Previous administrative/secretarial experience desired + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be insurance ... Financial computer systems and programs in support of client relations, supports securities and insurance related tasks and other administrative tasks as assigned.… more
- Thrivent Financial (Westbury, NY)
- …Qualifications + Previous administrative/secretarial experience desired + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be insurance ... Financial computer systems and programs in support of client relations, supports securities and insurance related tasks and other administrative tasks as assigned.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are ... a complex environment. * Concepts, practices, and procedures of securities industry and/or banking compliance reviews. * Rules and...in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Truist (Wyomissing, PA)
- …anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on ... degree or equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge of securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Essentials (SIE) Exam within 2 months of hire o Series 7 within 4 months of hire o Series 66 within 6 months of hire o Series 57 within 9 months of hire ... follows up on client documentation for proper maintenance of accounts and securities transactions * Provides operational support to clients in handling basic… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA);...in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- JPMorgan Chase (Columbus, OH)
- …+ Minimum of 6 years of financial services experience + Valid and active Securities Industry Essential (SIE), Series 7 & Series 66 licenses (63/65), or ... Vice President serves as a regionally aligned point of contact for all securities -based lending queries from Private Client Advisors and Assistants. As part of… more
- Truist (Houston, TX)
- …of annuity products. 6 . FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates with only the Series ... anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on… more
- Wells Fargo (Richfield, MN)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Thrivent Financial (Dallas, TX)
- …within a Fortune 500 company sounds intriguing. Job Qualifications: + Currently hold Securities Series 7 license + Positive, Energetic & Results-Driven + ... them. And since you currently hold at least your Series 7 securities license , you'll quickly...care about your health) + 401(k) matching up to 6 % & a pension plan (we also care about… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail...BA/BS in Accounting/Finance + CPA highly desired + FINRA Series 99 or 27 a plus (must be willing… more
- Wells Fargo (New York, NY)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Wells Fargo (Frisco, TX)
- …supervisory principals, and Market Administration Management **Required Qualifications:** + 6 + months of Supervisory Control, Risk Management Consulting, Property or ... + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to… more
- Wells Fargo (East Lansing, MI)
- …supervisory principals, and Market Administration Management **Required Qualifications:** + 6 + months of Supervisory Control, Risk Management Consulting, Property or ... + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to… more