Financial Case Advisor - ACTIVE FINRA Series 7 License
Mindlance
Job-ID29241628Reference26-25514Remote50% Remote Job Description: Required Qualifications: • 2 years of risk management, business controls, quality assurance, business operations, compliance, or process experience. • Successfully completed Financial Industry Regulatory Authority (Client) Series 7 examinations (or Client recognized equivalents) sufficient to qualify for immediate Client registration Desired Qualifications: • 2 years of brokerage industry experience • 2 years' experience with brokerage complaints processes. • 2 years' experience in Quality Assurance, Operational Risk, or compliance roles • Strong analytical skills with ability to draw conclusions and translate findings • Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment • Experience developing partnerships and collaborating with other business and functional areas • Excellent verbal, written, and interpersonal communication skills Job Expectations: • This position offers a hybrid work schedule. • Maintaining appropriate Client license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Initiate the Client licensing review process at the time of offer acceptance. • This position is subject to Client Background Screening Requirements, including successful completion and clearing of a background check. EEO: “Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”
- ...our commitment, we are looking for the next generation of Financial Solutions Advisors—those with a passion for growing a long-term career and a... ...clients first to meet their evolving needs. Required skills Series 7, and 66 or equivalent (if not currently held, Series 66...SuggestedShift workDay shift
- ...Who We Are A Fortune 500 financial services corporation, with a heritage spanning nearly... ...90-day paid study program to obtain the licenses required when handling client’s accounts... ...In this role, you will obtain your SIE, Series 7 and Series 66 licenses. Responsibilities...SuggestedFull time
- ...common purpose to help make financial lives better through... ...point into a fully licensed financial services career... ...Industry Essentials (SIE) and Series 7 and Series 66 Desire... ...-based environment FINRA Security Industry... ...Communications Prioritization Active Listening Decision...SuggestedTraineeshipWork at officeShift workDay shift
- ...FINANCIAL REPRESENTATIVE WITH FORTUNE 500 COMPANY Get More Out of Your Career Seeking... ...Impact Lives · Sponsorship of Licensing/Credentialing · Personalized Mentoring... ...Support for Professional Designations: SIE, Series 6, 7, 63, CFP · Comprehensive Medical...SuggestedFull timeImmediate start
$61k - $119k
...Job title: Financial Advisor Description: Becoming a Financial... ...and obtaining licenses. Our award-winning training... ...(SIE), and Series 6, 7, and 63. Northwestern... ...dealer, and member of FINRA and SIPC, and Northwestern... ...earned by full time, active Financial Representatives...SuggestedFull timeContract workFor contractorsWork at office- ...position with Cetera Financial Group. Accepted applicants... ...through customary activity including outside... ...Associate Financial Advisors to have additional training... ...Authority (FINRA) licensing. Reviews the work... ...Life/Health and FINRA Series 7 and 63 & 65 or S66....Work at office
- ...Bank Of America Financial AdvisorAt Bank of America, we are guided... ...knowledge by completing required licenses and trainings. This position... ...:Currently holds Series 7 and 66 (or the equivalent 63... ...regulatory due diligence into daily activities and long-term strategies for...Temporary workWork at officeMonday to FridayFlexible hoursRotating shiftDay shift
- ...members, directors and employees are active volunteers, serving on numerous... ...goals, objectives and current financial standing Provide for timely... ...and Competencies : Series 7, 63 and/or 66 (or equivalent) Life Insurance license Strong educational...Local area
- ...Financial AdvisorThe Financial Advisor works in concert with the retail branch banking system in... ...initiate additional sales by actively "account managing" and refer... ...solution fluent and maintain licensing capability.Qualifications:Series 7, Series 66, Life and Health...Contract workWork at office
$90k - $105k
...experienced Service Advisor to work closely with... ...and support the ongoing financial planning and relationship... ...items, and follow-up activities Serve as a point of... ...a related field ~ Series 7 and Series 63 (or equivalent... ...& Health Insurance License ~ Experience working...Work at office- ...Lead Financial Advisor Strategic Wealth Designers Charlotte,... ...business growth, you will also actively manage and service an... ...Requirements Series 65 or 66 with Life & Health licenses Experience with investment... ...~2–7 years of experience in...Full timeWork at officeLocal areaNight shift
- ...Edward Jones Associate Financial AdvisorThis job posting... ...clients and 20,000 financial advisors across the U.S. and... ...conversationsWillingness to obtain Series 7, Series 66, and state insurance licenses within three months of... ...Planner) designation or active progress toward...Temporary workFlexible hours
- ...Thrivent Financial Advisor Meaningful work. Rewarding career. Make an impact providing expert... ...and coaching as you obtain your FINRA Series 7 and 66 registrations, and complete Thrivent... ...of FINRA SIE, state life and health licenses before contracting. Satisfactory...Full time
- ...personal success. Equitable Advisors is a leading firm in... ...clients. Daily Activities may include... ...training to develop new Financial Professionals Collaborating... ...requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed...Full timeTemporary workLocal areaRemote work
$85k
...Financial Advisor – Federal Retirement Planning | Charlotte, NC (Hybrid)... ..., and our FEDucated webinar series. The audience grows with every... ...outcomes (clients and assets), not activity. Compensation ~$85K... ...®, PFS) ~ Life and annuity license, or able to obtain one...Full timeRemote work- ...Launch your financial services career with an organization that... ...educational and volunteer activities that enrich members’ lives... ...: an active life insurance license, FINRA securities registration (Securities... ...Industry Essentials®/SIE), Series 6 and/or 7 license, and Series 63...Full timeLocal area
- ...the advice industry. Our Advance to Financial Planning Advisor Program is a structured pathway designed... ...agility to successfully pass the Series 7, and 63 (or equivalent licenses) within the time frame described in Vanguard’s FINRA Licensing Policy by utilizing resources...Full timeApprenticeshipInternshipWorldwide
- ...CFP Board of Standards Inc. in Las Vegas invites a Financial Advisor in Training intern to gain hands-on experience through outbound... ...will build relationships, schedule appointments, study for FINRA SIE licensing, and participate in corporate internship learnings while collaborating...Internship
$26.83 - $38.61 per hour
...Financial Consultant IPrincipal is seeking financial... ...Serving as a trusted advisor, you'll combine financial... ...decisions with confidence.Use active listening, emotional... ...regulatory training, licenses, and designations.... ...Requirements:SIE and Series 7 licenses are required...Hourly payPermanent employmentTemporary workWork experience placementH1bRemote workMonday to FridayShift work- ...chance for investment success. We're seeking Financial Sales Consultants to build meaningful relationships... ..., and financial services is preferred.Licensing RequirementsActive SIE and Series 7 required at time of hire Active Series 63/65 or 66 required, which may be completed...Full timeWork at office
- ## Wealth Advisor - PNC Wealth ManagementApplylocations: NC -... ...well as the development of financial plans for clients. Grows and... ...recommends changes as needed.* Actively and regularly coaches and... ...Certification(s)## **Licenses**FINRA Series 7 and 66 (or 63,65) required...Full timeTemporary workPart timeWork experience placementWork at office
- ...looking to grow our team of Financial Professionals in the Charlotte... ...Career Description: Financial Advisors help clients identify and... ...not required but a plusFINRA Series 6, 7, 63, 65, or 66 a plus (company... ...sponsorship)Life & Health Insurance License not required (company will...Permanent employment
- ...consultative sales role for a financial professional who enjoys... ...Achieves sales results and sales activity goals as set by the leadership... ...worth clients and generating advisor consultations among existing... ...calling experience preferred.Series 7, 66, SIE strongly preferredDefined...Full time
- ...you value without being alone? As a Financial Advisor supported by The Pelora Group, you'... ...The Pelora Group if you: * Are actively working within the financial services... ...unforeseen challenges Requirements: * FINRA licensed series 7/66 preferred * Life & Health...Full timeContract workFor contractorsWork at office
- ...tailored to suit their financial needs. As a... ...acquire new clients by actively soliciting... ...Specialists (Private Client Advisors, Mortgage Bankers... ...24 hours a day/ 7 days a week... ...Essential (SIE) exam, FINRA Series 6/7, state registration... ...) and Life licenses are required - or...Immediate startAfternoon shift
- We are actively looking for exceptionally talented individuals who are collaborative... ...use your knowledge of investments, financial planning, credit and banking to... ...Bachelor’s Degree required Series 7, 66 and Insurance licenses required for position; unlicensed candidates...Temporary workWork experience placementLocal area
$95.55k - $195.25k
...Indirect Tax services, as well as cross-thread activities such as initiating, managing and closing... ...process or willing and able to obtain:Licensed CPA in state of practice/primary office... ...on the facts and circumstances of each case. A reasonable estimate of the current...Work at officeLocal areaVisa sponsorship$150k
...Financial Advisor — Warm Leads & Direct Mentorship Belmont, NC | First-Year Salary Support + Commission We’re looking... ..., 1–3 years of experience as a financial advisor. Series 65 & NC Life & Health License are required. A track record of sales success in...Full timeWork at office- ...mortgage loan officer, bringing a strong financial background into the business. I’m a graduate... ...regulations. QUALIFICATIONS: Active Life & Health license (required or ability to obtain quickly) FINRA Series 6/63/65 or 7 license preferred Previous experience...Work at officeFlexible hours
- ...are not mentioned below. Specific activities may change from time to time.Conduct... ...IBachelor's degreeThree years of related financial services work experienceFINRA licenses: Securities industry Essentials Exam (SIE), Investment Banking Series Exam (79) and the Uniform...Full timePart time
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