- 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 presentation skills. + Travel Required (75%). + Ability to adapt to constant changing environment. +… more
- Citigroup (New York, NY)
- …and escalating, managing and reporting control issues with transparency. **Qualifications:** + ** FINRA Series 7 and 63 licenses are required.** + 10-15 ... Bloomberg, booking systems, trading protocol, closing technicalities + Relevant FINRA registrations/licenses **Education:** + Bachelor's degree / University degree… more
- Insight Global (Norwalk, CT)
- …services industry FINRA Series 66 license (or Series 63/65 combination) required FINRA Series 7 license and Life/Health Insurance License are a plus Strong ... interpersonal and communication skills with a proven ability to build trust and close business null We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal… more
- US Bank (Tempe, AZ)
- …of one to two years of job-related experience in a financial sales position are preferred. - FINRA Series 7 along with either Series 63 and 65 or Series 66, but ... 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
- TD Bank (Greenville, SC)
- …priorities to meet deadlines** + **Experience presenting to management and regulators** + ** FINRA series 7 and 24** + **Life and Health Insurance License** ... and Exchange Commission (SEC) and Financial Industry Regulatory Authority** **( FINRA )** **Customer Accountabilities:** + Assists in the development and… more
- Charles Schwab (Westlake, TX)
- …the Schwab strategy. Essential skills include: **Required Qualifications:** + **Active and valid FINRA Series 7 and 63 licenses required ** + **Active and ... valid FINRA Series 9/10 license is required ** + Understanding of the financial services industry and/or securities industry + 2+ years in a client service capacity… more
- First National Bank of Omaha (Ridgewood, NJ)
- …Strong attention to detail **MINIMUM EDUCATION AND EXPERIENCE** + BA/BA degree required + FINRA SIE, 7 , 63 and Series 79 License (or equivalent registrations) + ... **Registration Requirement:** This position requires Financial Industry Regulatory Authority ( FINRA ) registration. Qualification requirements include meeting applicable financial industry… more
- PNC (Wexford, PA)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Candidates ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Vanguard (Charlotte, NC)
- …products and related regulations (Reg E, Reg CC, NACHA). + CRCM certification required; FINRA Series 7 and 24 strongly preferred. + Strong analytical, writing, ... demonstrate deep expertise in Regulation E, Regulation CC, NACHA rules, and FINRA oversight. You will design and execute compliance testing frameworks, conduct… more
- Charles Schwab (San Francisco, CA)
- …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 **In… more