- Neuberger Berman (TX)
- …collaborate within internal teams + Desire to contribute to the building of a nascent business + Series 7 , 63/65 or Series 7 , 66 required + Series 31 ... required within 3 months of employment + CFP, CIMA, and/or CFA/CAIA desired \#LI-JG3 \#LI-Hybrid Compensation Details The salary range for this role is $100,000-$100,000. This is the lowest to highest salary we in good faith believe we would pay for this role… more
- Truist (Dallas, TX)
- …experience in the financial services industry 3. FINRA: Maintains proper licenses including Series 7 , Series 66, Life, Health, and Variable insurance ... the relationship teams and deliver Purpose Driven Wealth experience. 7 . Document all client interactions via CRM system. 8....to perform the essential functions. 1. Bachelor's Degree 2. 7 or more years of lending or relationship management… more
- Charles Schwab (Westlake, TX)
- …have** **Required background and experience:** + Bachelor's Degree is required + Active and valid FINRA Series 7 + Active and valid FINRA Series 63 + Active ... and valid FINRA Series 8 (9/10) + 10+ years' experience in financial services focused on supervisory, risk, control, or compliance. + 10+ years' experience in managerial or executive positions, with increasing scope and complexity of responsibility. +… more
- Bank of America (Dallas, TX)
- …and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience + Knowledge related to retail ... + Communications, attention to detail, research/investigative knowledge **Desired Qualifications:** + Series 4, Series 24 licenses preferred + Ability to… more
- Athene (TX)
- …experience required. + Knowledge of Fixed Annuity and RILA Marketplace. + Life & Health, FINRA Series 7 and Series 63 licenses. Must have or obtain FINRA ... Licensing ( Series 6) within 6 months of employment. + Proven track record in growing a region as measured by sales results. + Demonstrated sales acuity and… more
- Charles Schwab (Westlake, TX)
- …have** Required Qualifications: + Bachelor's degree or equivalent work experience + Active and valid Series 7 license + Active and valid Series 66 license, ... or equivalent + Active and valid Series 9/10 license, or equivalent Preferred Qualifications: + 2-3 years' supervision/compliance/regulatory experience + Strong… more
- Regions Bank (Plano, TX)
- …Standards act and is not eligible for overtime pay. This position is incentive eligible. **Requirements** + Series 7 + Series 63 & 65 or Series 66 + ... Life Insurance License must be obtained within 60 days from employment start date **Preferences** + Bachelor's degree + Certified Financial Planning, Chartered Financial Consultant and Certified Retirement Specialist + Two (2) years of Financial Advisory… more
- Comerica (Dallas, TX)
- …of progressive experience in Banking or the Financial Services industry Preferred Licenses - Certifications: + Series 7 + Series 63 + Series 79 About ... Comerica We know our employees are critical to our overall success and we are dedicated to investing in their future. One of the ways we do this is to offer a comprehensive Total Rewards package designed to recognize and reward individual performance, as well… more
- Vanguard (Dallas, TX)
- …required. + This job requires a regulatory license and/or registration (eg FINRA, NASAA). The SIE, Series 7 , and Series 66 are required to be obtained within ... department guidelines. + CFP(R) preferred, with a commitment to pursue the designation. We offer a corporate CFP program to support crew in acquiring the certification. + Regulatory licenses and/or registrations as determined by Compliance based on… more
- Truist (Fort Worth, TX)
- …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 ... existing client, account, and product attributes that present sales potential. 7 . Provide operational guidance to Financial Advisors ranging from systems navigation… more