- 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
- SMBC (Jersey City, NJ)
- …examinations, and assist with responding to regulatory inquiries. + Respond to FINRA and State regulators as needed **Qualifications and Skills** + At least ... to allow for benchmarking. + Deep knowledge of relevant FINRA , SEC, CFTC, NFA Rules and Regulations. + Active FINRA licenses is a plus. + Knowledge of Web CRD,… 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
- Principal Financial Group (Des Moines, IA)
- …and 8+ years of experience on a sales or service team marketing products and services + FINRA Series 6 or 7 and FINRA Series 63 or 66 required + FINRA ... Series 24 or 26 required within 90 days of employment. Must meet firm standards for registration within applicable jurisdictions + Ability to interpret and market all approved products and services offered in our product suite + Mentor, develop, influence,… more
- Principal Financial Group (Nashville, TN)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 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… more
- Charles Schwab (Newport Beach, CA)
- …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 (Palm Beach Gardens, FL)
- …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 (Asheville, NC)
- …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 (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 (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
- 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
- SMBC (New York, NY)
- …Skills:** Advanced proficiency in Microsoft Excel, Word, and PowerPoint. + **Licensing:** FINRA Series SIE, 79, and 63 required (or ability to obtain within ... 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
- Principal Financial Group (Des Moines, IA)
- …security protocols and financial services regulations, including SOX, SEC, and FINRA . + Innovation & Mentorship: Evaluate and recommend new technologies, platforms, ... + You are familiar with financial services regulatory frameworks (eg, SOX, SEC, FINRA ). + You are a strong, strategic and analytical thinker with the ability… more
- SMBC (New York, NY)
- …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. ... 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
- SMBC (New York, NY)
- …Skills:** Advanced proficiency in Microsoft Excel, Word, and PowerPoint. + **Licensing:** FINRA Series SIE, 79, and 63 required (or ability to obtain within ... 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
- Principal Financial Group (Miami, FL)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). ... **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… more
- SMBC (Jersey City, NJ)
- …regulatory changes. + Engage with regulatory bodies such as the Federal Reserve, FINRA , NFA, and FDIC on technical reporting matters. + Participate in industry ... 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
- SMBC (Jersey City, NJ)
- …and supervisory reporting map. + Review workflow queues and reports, eg, FINRA Web CRD. + Process fingerprinting and background check procedures. + Coordinate ... 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
- SMBC (New York, NY)
- …Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements. + Ability to communicate this knowledge and applicability both verbally ... 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
- Fidelity (Covington, KY)
- …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
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