• Investment Banking Associate I: Private Equity,…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 or 79 License is ideal, and will be required ... within six (6) months of hire. + FINRA Series 63 or the ability to obtain within six (6) months of hire. **Travel Required:** Yes, up to 20% of the Time more
    Raymond James Financial, Inc. (08/12/25)
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  • Sr. Specialist, Service Concierge - Schwab Wealth…

    Charles Schwab (Indianapolis, IN)
    …qualifications that successful candidates should have. **Required Qualifications** + Active and valid FINRA Series 7 license required + Active and valid FINRA ... 66 or 63/65 licenses required (may be obtainedwith a120-dayCOE) + Minimum 1 year of experience in the financial services industry **Preferred Qualifications** + Experience servicing high-net-worth clients preferred + Experience supporting financial advisors… more
    Charles Schwab (08/10/25)
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  • Commerce Funds Wholesaler

    Commerce Bank (Kansas City, MO)
    …funds wholesaling experience preferred + FINRA Series 6 and 63 required + FINRA Series 7 preferred For individuals applying, assigned and/or hired to work in ... areas with pay transparency requirements, Commerce is required by law to include a reasonable estimate of the compensation range for some roles. This compensation range is for the Commerce Mutual Funds Wholesaler job and contemplates a wide range of factors… more
    Commerce Bank (08/09/25)
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  • Associate Wealth Management Advisor: Rancho Palos…

    US Bank (Rancho Palos Verdes, CA)
    …industry related experience in a financial sales or wealth position - Will need FINRA Series 7 , 65 or 66 and state insurance licenses. Preferred ... 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
    US Bank (08/08/25)
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  • Sr Specialist, Service Associate - Schwab Wealth…

    Charles Schwab (Westlake, TX)
    …**What you have** **Required Qualifications:** + Undergraduate degree required + Active and valid FINRA Series 7 license required + Active and valid FINRA ... 66 licenses required (may be obtained with a 120-day COE) + Minimum 2 year of experience in the financial services industry working directly with clients **Preferred Qualifications:** + Experience servicing high-net-worth clients + General understanding of… more
    Charles Schwab (08/08/25)
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  • Business Controls Sr. Associate - Information…

    Fifth Third Bank, NA (Cincinnati, OH)
    …required. + Ability to work with minimal supervision. + For Investment Advisors: FINRA Series 7 and 63/66 licenses preferred. Knowledge of the Securities ... industry and SEC / FINRA regulations is preferred. Business Controls Sr. Associate - Information Technology and Information Security LOCATION -- Cincinnati, Ohio… more
    Fifth Third Bank, NA (08/08/25)
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  • Premier Client Banker - PNC Investments

    PNC (Akron, OH)
    …service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63 & 65) required. Life ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
    PNC (08/08/25)
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  • Wealth Management Associate - MD, Baltimore…

    Equitable (MD)
    …the SIE which must be passed prior to onboarding + We will sponsor your pursuit of FINRA Series 7 and 66 registrations which must be passed prior to onboarding + ... deliver customized financial strategies to our clients. _Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN) and affiliate,… more
    Equitable (08/08/25)
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  • Financial Advisor

    First National Bank of Omaha (Omaha, NE)
    …experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State ... 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
    First National Bank of Omaha (08/02/25)
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  • Investment Banking Associate - Industrials…

    MUFG (Los Angeles, CA)
    …with S&P Capital IQ, Pitchbook, Salesforce CRM and online data room platforms + FINRA Series 7 , 63 or 79 license **Compensation & Benefits:** The typical ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
    MUFG (08/02/25)
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