- JPMorgan Chase (Chicago, IL)
- …+ Ability to understand new investment products and firm-wide policies. + Active and valid FINRA Series 7 and one or more of the following licenses ... 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
- JPMorgan Chase (Chicago, IL)
- …managing a team + Licenses required to perform all job duties associated with the role: FINRA Series 7 , 66 (63/65), 9/10 (4,24,53), appropriate State Life & ... Health Insurance license + Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10… 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
- 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
- PNC (Chicago, IL)
- …based in Chicago, IL. This position is a vertical within the national footprint. License requirements: FINRA SIE and Series 7 , 63, & 79 or the ability to ... employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- US Bank (Glen Ellyn, 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
- Charles Schwab (Chicago, IL)
- …are valued through regular appreciation and recognition. Required Qualifications: + Active and valid FINRA Series 7 license + 5+ years of financial services ... experience + CFP(R) designation or advanced credentials + Active and valid FINRA Series 9/10 license + Strong performance-driven mindset + Proven success in… 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
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