- Wells Fargo (Chicago, IL)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job Expectations:** + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- JPMorgan Chase (Chicago, IL)
- …skills in order to meet service level agreements and/or project deadlines + Active and valid FINRA Series 7 and one or more of the following licenses are ... considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53) FINRA Series 7 , 66 (63,65), 9/10 (4,24,53), all licenses are required to perform all… more
- Wells Fargo (Chicago, IL)
- …+ 4+ years of team management experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 24 examinations (or FINRA ... and achieving targeted business outcomes **Job Expectations** + For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials… more
- Navy Federal Credit Union (Schaumburg, IL)
- …industry and/or internal audits. + Perform other duties as assigned or appropriate Qualifications + FINRA Series 7 and combination of NASAA Series 63/65 ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account… more
- Navy Federal Credit Union (Schaumburg, IL)
- …+ Ability to generate GDC based on defined thresholds within a specified period of time + FINRA Series 7 and combination of NASAA Series 63/65 or 66 ... execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies + Prepare… more
- JPMorgan Chase (Chicago, IL)
- …7 + years of experience in the securities / investment industry + Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: ... FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements must be met within 120 days of hire. + Possess a competent level of knowledge of… more
- Charles Schwab (Chicago, IL)
- …**What you have:** Required Qualifications: + Bachelor's degree + CFP(R) designation + Active and valid FINRA Series 7 license + Active and valid FINRA ... our clients' financial lives. As Fiduciaries, we bring expertise across Schwab's 7 Wealth Management topics in conjunction with powerful technology to inspire… more
- US Bank (Oak Lawn, IL)
- …five years of experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and ... 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 (Winnetka, IL)
- …this role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA ... Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a… more
- First National Bank of Omaha (Sugar Grove, IL)
- …or equivalent experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) ... within the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it applies… more