- ADP (Louisville, KY)
- …processes financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job ... opportunities with other business units as needed. **Job Qualifications:** + FINRA Series 6 and 63 securities licenses and Securities Industry… more
- JPMorgan Chase (Columbus, OH)
- …+ Educate clients about JPMorgan products and valueadd resources. + Work towards and obtain a Series 6 & 63 securities licenses and pass the SIE exam ... skills + Relationship building and problem solving skills + Attention to detail + Obtain Series 6 & 63 securities licenses and pass SIE Exam within 120 days… more
- DXC Technology (Des Moines, IA)
- …Office products experience + Ability to follow oral and written directions + FINRA Series 6 Securities License **Work Environment** + Home office environment ... + May require shift work + This position offers a schedule of 9 - 5:30pm CST + Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States +… more
- Thrivent Financial (Valparaiso, IN)
- …in a business or finance related field + Must have or be interested in attaining securities registered with Series 7 and 66 within 120 days of employment as well ... which is a faith-based, not-for-profit financial services organization with approximately 2. 6 million members. Position Summary: Maar Financial Group is looking for… more
- ADP (Louisville, KY)
- …and developed in the same or similar role. **TO SUCCEED IN THIS ROLE:** + NASD Series 6 and 63 Securities Licenses + Strong leadership qualities and ... demonstrated success in managing, training, motivating, and retaining investment professionals. + Expertise in selecting highly competitive investment products and effective monitoring and reporting of investment products. + Expertise in communicating… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Business Administration, Bachelor's: Finance **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - ... IRAs, entity accounts, usufruct accounts, 529 accounts, etc. + ** Securities Trading:** Advanced knowledge of trading stocks, options, mutual...provided that an exemption or grandfathering cannot be applied Series 7 and 63/65 or 66 Required - must… more
- HUB International (Mclean, VA)
- …including scheduling reviews, assembling reports, and driving deliverables from meeting. **Qualifications:** + Securities licenses Series 6 , 7, 63, 65, or 66 ... HUB International employee engagement content. + Participation in HUB Camp quarterly series . + Revenue generation by cross-selling and converting clients to retail.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …high level of autonomy, uses advanced knowledge and skills in securities industry regulations obtained through education, experience, specialized training and/or ... foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products. + Company's working… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Business Administration, Bachelor's (Required) **Work Experience** General Experience - 6 to 10 years **Certifications** Securities Industry Essentials ... reviews to detect trends and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. This Sr. Manager will be… more
- Thrivent Financial (Menasha, WI)
- …Position Qualifications + Previous administrative experience desired + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be insurance ... Financial is a faith-based, not-for-profit financial services organization with approximately 2. 6 million members. As the nation's largest fraternal benefit society,… more
- Raymond James Financial, Inc. (CO)
- …Bachelor's: Business Administration **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - ... of branch managers + Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. + Interprets, applies, and recommends changes… more
- Thrivent Financial (Ottawa, IL)
- …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
- Truist (Orlando, FL)
- …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)
- …resolve these concerns. * Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. * Interprets, applies and recommends ... practices, procedures, and methods. * Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance… more
- Raymond James Financial, Inc. (Chicago, IL)
- …**Education** High School (HS) **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial ... * Investment concepts, practices and procedures used in the securities industry. * Financial markets, products and industry regulations....that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 63, 65… more
- Bank of America (Chandler, AZ)
- …positivity and confidence + Non-licensed candidates will be expected to obtain FINRA Securities Industry Essentials Examination (SIE), Series 7 Top-Off and ... be flexible to work various shifts; Monday - Sunday, 6 :30 pm - 5:30 am EST; 40 hours per...1st and 2nd shifts ** **Desired Qualifications:** + FINRA Securities Industry Essentials Examination (SIE), Series 7… more
- Thrivent Financial (St. Louis, MO)
- …Qualifications + Securities or insurance industry experience preferred + Must be securities registered ( series 6 /63, 7/63, 7/63/65 or 7/66). + Must ... Financial is a faith-based, not-for-profit financial services organization with approximately 2. 6 million clients. As the nation's largest fraternal benefit society,… more
- Raymond James Financial, Inc. (San Francisco, CA)
- …**Education** High School (HS) **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial ... Advanced investment concepts, practices and procedures used in the securities industry. * Financial markets, products and industry regulations....that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 63, 65… more
- Fifth Third Bank, NA (Portage, MI)
- …as documented in the Fifth Third Securities Licensing Guidelines candidate with active Series 6 and 63 licenses preferred. + Two (2) years of brokerage or ... degree in Finance, Economics, or Business Management preferred. + Securities Industry Essentials (SIE), Series 7, 66 (or 65 and 63), appropriate state resident… more
- Raymond James Financial, Inc. (CO)
- …and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage ... **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations… more