- 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
- Wright-Patt Credit Union Inc. (Beavercreek, OH)
- … Series 7 securities license is required. + FINRA Series 66 securities license is required within 6 months of employment into this position. + Life, ... and economic value to member-owners. Must have current FINRA Series 7 securities license. + Provides administrative...in all states in which doing business desired within 6 months of employment into this position. + Demonstrated… 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
- TD Bank (New York, NY)
- …CFA plus; + FINRA Series 99 license required, can be obtained within 6 months of starting; + Advance working knowledge and experience in the financial and ... integral part of the overall Finance - Accounting Function within TD Securities and its subsidiaries which supports the reporting responsibilities for the different… more
- Truist (Charlotte, NC)
- …2. Three or more years of Financial Services Experience 3. Knowledge of securities markets and brokerage accounts. 4. Knowledge of the features and attributes of ... products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates...66 and can obtain the additional license during employment. 6 . Exceptional telephone skills and the ability to appropriately… 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
- Wells Fargo (Thornwood, NY)
- …+ 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
- 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