- Truist (Fort Worth, TX)
- …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 (or 63 & 65 in lieu of the 66). Candidates will be considered if they have at least 1 of the required licenses and can obtain the additional licenses during employment (365 days). 6. Exceptional telephone skills and the ability to appropriately… more
- Charles Schwab (Westlake, TX)
- …spans regulatory and non-regulatory business processes requiring understanding of FINRA and reporting needs. **What you have** **Job Requirements:** Bachelor's ... Salesforce Product Development LifeCycle; 2. Enterprise Case Management; 3. FINRA Regulatory Requirements and Submission Processes; 4. Operational Report Management,… more
- Wells Fargo (Houston, TX)
- …Range:** TX (Houston): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Comerica (Dallas, TX)
- …must pass a background check and complete registration with securities industry regulator FINRA by passing the Series 7, Series 79 and Series 63 securities exams ... a defined period after matriculation; must maintain active and valid FINRA registrations for the duration of their employment Position Responsibilities:Program… more
- Citigroup (San Antonio, TX)
- …as required + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy + Ensures that KYC/AML and other compliance norms are ... of Microsoft Office (Excel, Outlook, and Word) preferred + US Registered FINRA Series 7 & 63 Required. **Education:** + Bachelor's/University degree or equivalent… more
- US Bank (Houston, TX)
- …in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and 63/65 combination and applicable state ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Charles Schwab (Westlake, TX)
- …in Schwab Wealth Advisory. **What you have** **Required Qualifications** **:** + Active and valid FINRA Series 7 + Active and valid FINRA Series 66 (may be ... obtained with a 120-day COE) + 1-3 years of experience in the financial services industry + Bilingual proficiency in English and Mandarin is required **Preferred Qualifications** **:** + Experience servicing high net worth clients + Bachelor's Degree +… more
- US Bank (Dallas, TX)
- …financial planning technology platforms - Proven ability to build and maintain relationships - FINRA Series 7 & 63, or willingness to obtain If there's anything we ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Truist (Dallas, TX)
- …bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable ... and maintained, or must be obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE… more
- Charles Schwab (Austin, TX)
- …+ CFP(R) designation or CFA(R) designation + Bachelor's degree + Active and valid FINRA Series 7 license + _May be obtained with a 120-day condition of employment_ ... + Active and valid FINRA Series 66 license required + _May be obtained with a 120-day condition of employment_ + Five or more years of advisory experience, including… more