- T. Rowe Price (New York, NY)
- …combination of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 AND 63/65, OR Series 7 AND 66 Preferred: + ... sophisticated communication skills + CAIS, CIMA, CFP or CFA designation(s) FINRA Requirements FINRA licenses are required and will be supported for this role.… more
- JPMorgan Chase (Chicago, IL)
- …+ years of experience in the securities / investment industry + Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA ... a Supervisory or Compliance professional preferred. + Possess an advanced knowledge of FINRA , MSRB and SEC rules and regulations. + Experience working in an… more
- Wells Fargo (Charlotte, NC)
- …issues. + Experience handling highly sensitive and confidential information utilizing sound judgement. + FINRA Series 7 , 24 & 63 licenses preferred but not a ... up to 10% + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing...for dependent children + Adoption reimbursement **Posting End Date:** 7 Aug 2025 **_Job posting may come down early… more
- Charles Schwab (Phoenix, AZ)
- …include: **Required Qualifications:** + Bachelor's degree + CFP(R) designation + Active and valid FINRA Series 7 license + Active and valid FINRA Series ... 63/65 or 66 + Active and valid FINRA 9/10 (or to be obtained within 90 days)...Insurance licensing strongly preferred + Prefer a minimum of 7 + years of financial services experience including 3+ years… more
- JPMorgan Chase (New York, NY)
- …Familiarity with office software applications for efficient data management and reporting. + Must hold FINRA Series 7 and one or more of the following licenses: ... groups with precision and clarity. **Required Qualifications, Capabilities, and Skills:** + 7 years of experience in the securities/investment industry, with a focus… more
- City National Bank (New York, NY)
- …5 years of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * The ... possess CFP, JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license required. *… more
- JPMorgan Chase (Portland, OR)
- …judgment and problem-resolution skills. + Familiarity with office software applications. + Must hold FINRA Series 7 and one or more of the following licenses: ... issues from oversight groups. **Required Qualifications, Capabilities, and Skills:** + 7 years of experience in the securities/investment industry. + Bachelor's… more
- JPMorgan Chase (Tempe, AZ)
- …of experience in a Supervision, Compliance, Surveillance, Operations, or Control capacity. + Must hold FINRA Series 7 and one or more of the following licenses: ... management. **Job Responsibilities** + Review next-day trades to ensure compliance with FINRA rules and industry regulations. + Evaluate and document trades flagged… more
- Regions Bank (Hoover, AL)
- …or financial services industry, of which two (2) years must be in a supervisory/managerial capacity + FINRA Series 7 , 66 (or 63 & 65) + FINRA Series 24 must ... + Ensures full compliance with Financial Industry Regulatory Agency ( FINRA ), Securities and Exchange Commission (SEC), and internal policies; maintains… more
- JPMorgan Chase (Plano, TX)
- …investment strategies and products, proficiency in trading platforms, Microsoft Office software, + FINRA Series 7 , 66 (or equivalent), life and health insurance, ... and energizing the team, ensuring they maintain expertise in FINRA rules and Department of Labor standards. By fostering...9/10 (or equivalent), and meeting FINRA continuing education requirements. Chase is a leading financial… more
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