- Charles Schwab (Westlake, TX)
- …(eg, CFP, CFA, MBA, CHFC, CPWA) highly preferred **Required Qualifications** + Active & valid FINRA Series 7 license required + Active & valid FINRA Series ... & Health insurance (or may be obtained within 90 days of employment) + 7 + years financial services industry experience + 2+ years Ultra- HNW client experience… more
- Charles Schwab (Westlake, TX)
- …you have:** Required Qualifications: + Bachelor's degree + CFP(R) designation + Active and valid FINRA Series 7 license + Active and valid FINRA Series 63/65 ... our clients' financial lives. As Fiduciaries, we bring expertise across Schwab's 7 Wealth Management topics in conjunction with powerful technology to inspire… more
- Truist (Ocala, FL)
- …degree in Business, Accounting, Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7 , 66 (63 and 65 in lieu of 66) licenses. 3. ... files are correctly completed and maintained to conform to regulatory policies. 7 . Remain knowledgeable of and familiar with all products currently offered by… more
- JPMorgan Chase (San Antonio, TX)
- …or former employee of the Service Center or Segmented Services Group to be considered + FINRA Series 7 and 63 (or equivalent) required, in addition to meeting ... exception approvals. Our current target operating hours are Monday-Friday 7 am - 8 pm CST, and Saturdays 8...FINRA continuing education requirements. + Strong compliance record prior… more
- Santander US (Staten Island, NY)
- …a superior record of sales achievement while maintaining high ethical standards. + Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63 and ... required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement… more
- Citigroup (Jacksonville, FL)
- …+ Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred. ... investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
- Truist (Tampa, FL)
- …years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health and life insurance ... by executing on opportunities identified through external networking and internal referrals. 7 . Adhere to professional and ethical standards set forth by Truist, the… more
- Truist (Charlotte, NC)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses (Series 9&10 can be used ... product managers. **PREFERRED QUALIFICATIONS** + Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + … more
- Truist (Richmond, VA)
- …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses (Series 9&10 can be used ... used in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
- Citigroup (Jacksonville, FL)
- …+ Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred ... investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
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