- HSBC (Houston, TX)
- …initiatives outside of own role; proactively seeking different assignments to accelerate development + FINRA Series 79, 63 and 7 licenses are required in the ... role. A contingency period to obtain licensing can be provided at manager's discretion In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must be legally authorized to work in the US as… 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
- HSBC (Houston, TX)
- …sector experience required + Strong Windows capabilities; Excel, PowerPoint, Word, Outlook + FINRA Series 63, 79, and 7 licenses required. A contingency period ... to obtain licensing can be provided at manager's discretion In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US Applicants must be legally authorized to work in the US as HSBC will not engage in… more
- JPMorgan Chase (Webster, TX)
- …team culture **Required qualifications, capabilities, and skills** + A valid and active Series 7 license is required + If you were registered after October 1, 2018 ... 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
- JPMorgan Chase (Arlington, TX)
- …equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/ 7 , state registration (including 63 or 66 if required), ... and setting up self-service options to access their accounts 24 hours a day/ 7 days a week. **Job responsibilities** + Delivers an exceptional customer experience by… more
- Edward Jones (Mineola, TX)
- …+ High School Diploma/Equivalent required; Bachelor's degree preferred + Series 7 and Series 66 required, if not currently registered, registrations may ... + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance licenses required + As an… more