- Equitable (San Antonio, TX)
- …skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a track record of success ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
- Equitable (Dallas, TX)
- …skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a track record of success ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
- Comerica (Dallas, TX)
- …Analysts must pass a background check and complete registration with securities industry regulator FINRA by passing the Series 7 , Series 79 and Series 63 ... a defined period after matriculation; must maintain active and valid FINRA registrations for the duration of their employment Position Responsibilities:Program… more
- PNC (San Antonio, TX)
- …& 63 (79 optional) within 180 days of employment. Asset Backed Finance - SIE, 7 , 79 and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) ... - SIE, Series 79, Series 7 , and 63 within 120 days of employment. Derivatives...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- Guardian Life (Austin, TX)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with...+ Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days.… more
- Microsoft Corporation (Dallas, TX)
- …AND 6+ years technical pre-sales or technical consulting experience OR 7 + years technical pre-sales or technical consulting experience OR equivalent experience. ... Experience with Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations +...Experience with Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations +… more
- Edward Jones (Temple, TX)
- …**Licensing:** + SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not currently registered, registrations ... Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses...ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training… more
- Atria Wealth Solutions (Fort Worth, TX)
- …Security, Education planning, Retirement planning, etc.) Required Qualifications: + Active Series 7 , 63/65 (or 66) licenses along with Life, Accident & Health ... most successful credit union investment programs in the country. CFS (Member FINRA (http://www. finra .org/) / SIPC (http://www.sipc.org/) ) is a broker-dealer and… more
- Thrivent Financial (The Woodlands, TX)
- …your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor onboarding program. ... or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. +… more
- Truist (Dallas, TX)
- …of lending or relationship management experience in the financial services industry 3. FINRA : Maintains proper licenses including Series 7 , Series 66, Life, ... appropriate with the relationship teams and deliver Purpose Driven Wealth experience. 7 . Document all client interactions via CRM system. 8. Establish consistent… more