- Citigroup (Jacksonville, FL)
- …+ Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred ... investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
- Truist (Jacksonville, FL)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses (Series 9&10 can be used ... also required. **Preferred Qualifications:** + Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + … more
- Truist (Ocala, FL)
- …degree in Business, Accounting, Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7 , 66 (63 and 65 in lieu of 66) licenses. 3. ... files are correctly completed and maintained to conform to regulatory policies. 7 . Remain knowledgeable of and familiar with all products currently offered by… more
- Truist (Tampa, FL)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses (Series 9&10 can be used ... used in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
- Citigroup (Jacksonville, FL)
- …+ Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred ... investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
- PNC (Rockledge, FL)
- …service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Charles Schwab (Delray Beach, 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… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 or 79 License is ideal, and will be required ... within six (6) months of hire. + FINRA Series 63 or the ability to obtain within six (6) months of hire. **Travel Required:** Yes, up to 20% of the Time more
- PNC (Palm Beach Gardens, FL)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Candidates ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Truist (Miami, FL)
- …2. 5- 7 years or more of banking experience in portfolio-oriented roles 3. FINRA : Series 7 , Series 66, Life, Health, and Variable insurance licenses and SAFE ... with the relationship teams and deliver Legal Specialty Group value proposition. 7 . Document all client interactions via CRM system. 8. Establish consistent… more