- ADP (Dallas, TX)
- …processes financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job ... opportunities with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry… more
- Wells Fargo (Bethesda, MD)
- …you with the coaching and guidance that you will need to successfully obtain your FINRA securities ( Series 6 and Series 63) and State Insurance ... successfully meet team objectives while maintaining individual performance * Successfully completed FINRA Series 6 and Series 63 examinations (or FINRA… more
- JPMorgan Chase (Columbus, OH)
- …+ Educate clients about JPMorgan products and valueadd resources + Work towards and obtain Securities Industry Essentials, Series 6 and Series 63 ... Relationship building and problem solving skills + Attention to detail + Obtain Securities Industry Essentials, Series 6 and Series 63 securities … more
- Truist (New York, NY)
- …support and oversight for change activities (both business and regulatory change). 6 . Provide oversight and support for open risk, audit, and regulatory issues. ... of risk management experience in financial services or related field. 3. 6 + years of leadership experience. 4. Subject matter expertise in assigned/specified line… more
- HUB International (Mclean, VA)
- …including scheduling reviews, assembling reports, and driving deliverables from meeting. **Qualifications:** + Securities licenses Series 6 , 7, 63, 65, or 66 ... HUB International employee engagement content. + Participation in HUB Camp quarterly series . + Revenue generation by cross-selling and converting clients to retail.… more
- Equitable (Charlotte, NC)
- …BA/BS degree + FINRA Series 7 and Series 24 preferred. Would consider candidates with a Series 6 and 26, or candidates with a Series 7 or Series ... All reviews are based on FINRA, SEC, and state securities and insurance regulations, as well as company standards...6 with a requirement to obtain the Series 24 or Series 26 within 90… more
- Manulife (Atlanta, GA)
- …experience, preferably in phone and/or sales type roles. + A commitment to attain the Securities Industry Essentials, Series 6 , 63 plus state insurance and ... variable licenses within 4 months of hire + Passion for growing a territory with a positive mindset + Excellent relationship building, communication, presentation and negotiation skills + Superior business acumen especially with retirement plan products and… more
- Raymond James Financial, Inc. (New York, NY)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices and procedures of securities industry and/or banking compliance. + Rules and regulations of: ... Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA),...in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Thrivent Financial (Lakewood, CA)
- … licensed, or insurance licensed. Depending on role, the associate must be: + Securities registered ( series 7 & 66 or 6 & 63) or be willing to do so within ... Financial is a faith-based, not-for-profit financial services organization with approximately 2. 6 million clients. As the nation's largest fraternal benefit society,… more
- Thrivent Financial (Crete, IL)
- …in a business or finance related field + Must have or be interested in attaining securities registration with SIE, Series 7 and Series 66 within 120 days ... which is a faith-based, not-for-profit financial services organization with approximately 2. 6 million members. Position Summary: Maar Financial Group is looking for… more
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