- 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
- Access Dubuque (Dubuque, IA)
- …experience, CFP designation preferred and/or equivalent combination of education and experience. + Hold Series 6 & 63 securities licenses, with desire to ... sessions. + Complete all required continuing education to maintain securities and insurance licenses. + Perform other duties as...7 license within one year of employment. + Hold Series 66 license, or ability to acquire within 90… 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
- Aegon Asset Management (Denver, CO)
- …advisers. Qualifications + High School education or GED equivalent required. + Willing to obtain Series 6 /63 Securities Licenses within 6 months hire. + ... Willing to obtain resident state Life Insurance License within 6 months hire. + Resourceful and well organized. + Participate in proactive team efforts to achieve… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry marketing/advertising and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures ... Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and...Bachelor's degree (BA /BS) and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Truist (Tampa, FL)
- …anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on ... degree or equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge of securities… more
- Truist (Columbia, MD)
- …center or brokerage office environment, preferably focusing on outbound sales calls. 6 . Financial Industry Regulatory Authority (FINRA) Series 7, 66 licenses ... to Financial Advisors ranging from systems navigation to document fulfillment. 6 . Ensure new business paperwork is accurately and successfully submitted. This… 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