- Truist (Ocala, FL)
- …accounts. 4. Knowledge of the features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series ... 66 licenses. (Series 63 and 65 in lieu of 66) Candidates will be considered if they currently have at least 1 of the licenses and can obtain the additional licenses during employment. 6. Exceptional telephone skills and the ability to appropriately interact… more
- Coinbase (Tallahassee, FL)
- …and resolving customers' trading related issues. *What we look for in you:* * FINRA License series 7 & 63 (will not initially be sponsoring licenses) * Motivated ... to create a community of high value Coinbase power users. *Nice to haves:* * FINRA License Series 3, 4, 65, or 66. * Knowledge of Cryptocurrency and Coinbase… more
- MUFG (Tampa, FL)
- …industry regulatory and policy-making agencies (eg, Financial Industry Regulatory Authority, or FINRA , in the US ., European Securities and markets Authority in ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (West Melbourne, FL)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life and Health ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Principal Financial Group (Miami, FL)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). ... **Successful candidates will have the following:** + Excellent communication, presentation, analytical, and interpersonal skills. + Successful history of accomplishments in education, retirement sales, or a related field. + Ability to work both independently… more
- USAA (Tampa, FL)
- …maintenance or ability to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA Series 66 (or 63 ... and 65) license. + Must be able to successfully pass background check and meet all USAA and regulatory requirements. Additionally, applicant must have the ability to be licensed and registered in all required states and jurisdictions. + 4 years of financial… more
- Citigroup (Jacksonville, FL)
- …63 required). + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms are ... Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred **Education:**… more
- JPMorgan Chase (Miami, FL)
- …+ Adhere to and maintain the firm's controls policies and procedures and FINRA regulations as well as protecting client assets against potential fraud activities + ... services, and digital platform. **Required qualifications, capabilities, and skills** + FINRA Securities Industry Essentials, Series 7 and Series 63 licenses… more
- Edward Jones (St. Augustine, FL)
- …may be obtained at Edward Jones during the assigned study period + FINRA registrations are required within three months. State insurance licenses are also required ... to complete all ongoing training offered by the firm and regulatory authorities FINRA and/or SEC Complete required CE training to ensure license(s) are in good… more
- Equitable (Orlando, FL)
- …spirit * Willingness to pursue required industry certifications (State Life & Health, FINRA Series 7 and 66) **What We Offer** * Structured training and mentorship ... a foundation for success in financial services. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN) and affiliate, Equitable… more