• VP, Branch Manager

    Charles Schwab (Leawood, KS)
    …be the opportunity for you. **What you have** **Required** **qualifications** + Active and valid Series 7 license + Active and valid Series 66 (63/65) ... a 90-day condition of employment) + Active and valid Series 9/10 license required (may be obtained within a...leadership experience **Preferred** **qualifications** + Active and valid FINRA Series 24 license + CFP, CFA, CIMA, and/or AAMS… more
    Charles Schwab (05/17/24)
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  • Compliance Electronic Communication Surveillance

    Mizuho Corporate Bank (New York, NY)
    …Bachelor's Degree (BA/BS) in a related discipline. Advanced degree (MBA, JD) a plus + Series 7 , Series 57, Series 24 and/or Series 4 ... part of one of the largest-and growing-banks in the world. For more information, please view our Recruiting Brochure (https://www.mizuhogroup.com/binaries/content/assets/pdf/americas/share/2022/ 7… more
    Mizuho Corporate Bank (05/17/24)
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  • Client Service Associate Senior (Trade Support…

    City National Bank (Los Angeles, CA)
    …and securities market. + Minimum 5 years' of direct client services experience required + FINRA Series 7 and 63 or 66 licenses + FINRA Series 24: General ... and communication skills. + Registered Representative with a FINRA Series 4, 53, and Series 57 preferred....with a FINRA Series 4, 53, and Series 57 preferred. **Compensation** Starting base salary: $87,027 -… more
    City National Bank (05/17/24)
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  • Compliance Trade Surveillance

    Mizuho Corporate Bank (New York, NY)
    …a plus. Educational: Bachelor's Degree (BA/BS) in a related discipline. Advanced degree (MBA, JD) a plus Series 7 , Series 57, Series 24 and/or Series ... part of one of the largest-and growing-banks in the world. For more information, please view our Recruiting Brochure (https://www.mizuhogroup.com/binaries/content/assets/pdf/americas/share/2022/ 7… more
    Mizuho Corporate Bank (05/17/24)
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  • Marketing and Communications Director*

    Morgan Stanley (Norwell, MA)
    …required * Bachelor's degree in Marketing, Communications, Business, or relevant field preferred * Active Series 7 (GS) and Series 66 (AG/RA) or Series ... 63 (AG) and Series 65 (RA) * Additional product licenses may be required _*Knowledge/Skills*_ * Enjoys working with people and solving problems * Effective written and verbal communication skills * Knowledge of data analysis and market research * Strong… more
    Morgan Stanley (05/15/24)
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  • Team Administrator*

    Morgan Stanley (Glens Falls, NY)
    …work in a fast-paced, evolving environment * Adaptable and ability to multitask * Willingness to obtain Series 7 (GS), and Series 66 (AG/RA) or Series 63 ... (AG) and Series 65 (RA) *Reports To:* * Business Service Officer Expected base pay rates for the role will be between $35,000 and $85,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis… more
    Morgan Stanley (05/11/24)
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  • Registered Client Relationship Analyst

    Morgan Stanley (Atlanta, GA)
    …* High School Diploma/Equivalency * College degree preferred * Industry experience is a plus * Active Series 7 (GS), and Series 66 (AG/RA) or Series 63 ... (AG) and Series 65 (RA) required *Knowledge/Skills* * Strong computer skills and knowledge of Microsoft Office products * Exceptional writing, interpersonal and client service skills * Detail orientated with superior organizational skills and ability to… more
    Morgan Stanley (05/10/24)
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  • Director of Investments *

    Morgan Stanley (Menlo Park, CA)
    …required * Advanced degree or professional certification or prior industry experience required * Active Series 7 (GS) and Series 66 (AG/RA) or Series ... 63 (AG) and Series 65 (RA) * Additional product licenses may be required _*Knowledge/Skills*_ * Enjoys working with people and solving problems * Financial industry and product knowledge * Effective written and verbal communication skills * Strong… more
    Morgan Stanley (05/09/24)
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  • Virtual Financial Advisor - St Petersburg, FL or

    Raymond James Financial, Inc. (Memphis, TN)
    …* SIE required provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or 63 and 65 ... on an infrequent basis as business warrants (after obtaining Series 24). * Assists clients, branches, advisors and back...required. * Insurance License preferred. * FINRA Series 24 or 9/10 preferred. **Job:** Investment Management **Primary… more
    Raymond James Financial, Inc. (05/09/24)
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  • Advisor, Supervision - E-Comm Review (Remote…

    Raymond James Financial, Inc. (Denver, CO)
    …provided that an exemption or grandfathering cannot be applied. * Required to have a Series 7 , 24 and 65, 63. Series 66 can be obtained instead of 63/65. ... and client suitability (all at a level consistent with the requirement of Series 24 licensing). * Company's working structure, policies, mission, and strategies. *… more
    Raymond James Financial, Inc. (05/09/24)
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