- 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
- ADP (AZ)
- …**PREFERRED QUALIFICATIONS:** Preference will be given to candidates who have the following: + FINRA Series 6 & 63 securities licenses and Securities ... Industry Essentials + Bachelor's Degree preferred in Business, Finance or Accounting or the Equivalent in Education & Experience + Comprehensive understanding of competitive advantages and disadvantages of Retirement Products. + Experience in managing… more
- 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
- 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
- Truist (Atlanta, GA)
- …responsibilities include regulatory reporting, accounting and control activities for Truist Securities , Inc This role will be responsible for various broker-dealer ... the weekly Customer Reserve calculation under SEC Rule 15c3-3 for the securities trading business. 2. Calculate broker dealer regulatory capital under SEC Rule… more
- M&T Bank (Clanton, AL)
- …within the organization. This position would support the testing of M&T Securities , Institutional Services &Wealth Management Marketing, The Volcker Rule and other ... coordination of testing plans and methods. **Education/Experience Required:** **FINRA Series 7 and 24 Licenses (or the ability to...and 24 Licenses (or the ability to obtain within 6 months)** + Bachelor's Degree in related field. +… more
- Truist (Winston Salem, NC)
- …for supervising the daily transactions including but not limited to securities , mutual funds, UITs, Structured Products and marketing requests. This position ... to learn and adapt to change and competing priorities. 6 . Strong written and verbal skills. 7. Uses judgment...business, or equivalent education and related training. + FINRA Series 4, 7, 24, 53, and 66 licenses (… 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
- 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, ... products insurance licenses in all states in which doing business desired within 6 months of employment into this position. + Demonstrated ability to learn and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …complex supervisory issues. Uses advanced knowledge and skills in securities and investment advisory regulations obtained through education, experience, specialized ... procedures, and methods. * Concepts, practices and procedures of securities industry and/or investment advisory compliance, including suitability, fiduciary… more
- Thrivent Financial (Las Vegas, NV)
- …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 (Wilmington, NC)
- …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
- Thrivent Financial (Cranford, NJ)
- …Qualifications + Previous administrative/secretarial 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 clients. As the nation's largest fraternal benefit society,… more
- Thrivent Financial (Helena, MT)
- …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
- State of Nevada (NV)
- …to current classified employees in the specified Division, with at least 6 months of continuous, full-time equivalent service. Posted 10/30/2024 Close Date: ... the full range of duties as described in the series concept. This is the journey level in the...system of accounting and control for Unclaimed Property Abandoned securities and mutual funds received by the agency from… 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
- Thrivent Financial (Reynoldsburg, OH)
- …needs Position Qualifications + Previous administrative/secretarial experience desired + Must be securities registered ( series 6 /63, 7/63, 7/63/65 or 7/66). ... 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. (St. Petersburg, FL)
- …uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the continuous evolution of the ... **Advanced Knowledge of:** * 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
- Wells Fargo (Beaverton, OR)
- …+ 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