- TIAA (Frisco, TX)
- …University (Degree) Preferred **Work Experience** + 2+ Years Required; 3+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series ... + 2+ years of financial services experience. + Series 7 , 66 (63 and 65), and life and health...+ 3+ years of financial services experience. + Series 7 , 66 (or 63 and 65), and life and… more
- Truist (Houston, TX)
- …and valuation analyses. 5. Formulates investment ideas. 6. Writes draft research commentary. 7 . Depending on experience and the needs of the individual analyst, may ... BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 for...Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II.… more
- TIAA (Dallas, TX)
- …Requirements** + University (Degree) Preferred **Work Experience** + No Experience Required ** FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series ... and closing both education and growth related opportunities. A consultant has their series 7 , 66 and Health/Life licensing in all 50 states. This role falls under… more
- US Bank (Irving, TX)
- …**Basic Qualifications** + Bachelor's degree, or equivalent work experience + At least 7 years of experience within a total information technology (IT) environment + ... At least 7 years of experience with the design, development and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- TIAA (Dallas, TX)
- …University (Degree) Preferred **Work Experience** + 2+ Years Required; 3+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series ... 65; Series 66 **Licenses and Certifications** + Certified Financial Planner (CFP) - Certified Financial Planner Board of Standards required Upon Hire **Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 6IC **Please note** , a… more
- Bank of America (Dallas, TX)
- …investment experience/work and/or strong knowledge of investments/securities products and services + FINRA licenses including the SIE or Series 7 at minimum, ... or related experience + Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations + Prior anti-money laundering / financial crimes investigation experience in a financial institution or… more
- TIAA (Frisco, TX)
- …Years Preferred ** FINRA Registrations** + SRC Indicator: Series 6 or 7 ; Series 63 **Licenses and Certifications** + Life and Health Insurance License (National) ... - Multiple Issuers required within 120 Days **Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 6IC Related Skills Business Development, Client Relationship Management, Collaboration, Consultative Communication, Continuous… more
- Bank of America (Dallas, TX)
- …with AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related ... experience + Knowledge related to retail and/or institutional brokerage products and services and applicable compliance rules and regulations + BSA knowledge relative to AML or Fraud + Proficiency in Microsoft Excel / data analytics + Self-starter capable of… more
- Truist (Austin, TX)
- …with disabilities to perform the essential functions. * Bachelor's Degree Required * FINRA : Maintains proper licenses including Series 7 , Series 66, the ... Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance licenses. Ensures that appropriate continuing education requirements are met where needed * 8 or more years of sales and client management experience in Wealth… more
- JPMorgan Chase (Prosper, TX)
- …ability and commitment to goals-based planning and advice + A valid and active Series 7 + A valid and active Series 66 (63/65) license is required or must be ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more