Average salary: $38,152 /yearly
More stats ...combination of education and professional work experience
Minimum of 1 year experience in sales, preferably inside sales
Current FINRA licenses and/or ability to successfully obtain FINRA 7 & 63 registrations within corporate-established timelines and complete FINRA...
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...investments, brokerage, or private banking
~ Experience recommending financial services products and services
~ Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to qualify for immediate registration
~ State Insurance license(s)
~3+...
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...ensure compliance with SEC filing requirements
Assist with managing regulatory exams, investigations and inquiries conducted by FINRA, SEC and state regulators coordinating with regulators, auditors, compliance personnel and each business unit management
Conduct...
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...Relationship Manager must hold the followinglicenses and designations within 90 days of on-boarding to perform the dutiesof the position:
•FINRA SIE, Series 7, 66 Securities Licenses
•CRPC® Designation
In addition, the DCR&IS Client Relationship Manager must hold the...
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...minimum of 5 years' of experience in sales to stock market investors and hold a current Investment Adviser Representative designation, FINRA Series 65, or a combination of FINRA Series 7 & 66, or other qualifying financial professional designations. The role requires a...
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...communicate
- Strategic thinker who can work independently
- Strong relationship building and territory management skills
- Active FINRA Series 6 and 63 or must obtain within the first 90 days of employment
- Active State Life and Health Insurance License (in all...
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...financial future.
Please note this role requires in-person attendance in the assigned Branch location.
Certifications:
Series 07 - FINRA, Series 66 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the...
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...The Expertise We re Looking For
Previous success in building relationships, uncovering needs and recommending solutions
FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire...
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...Services Inc., a wholly owned subsidiary of Modern Woodmen of America, 1701 1st Avenue, Rock Island, IL 61201, (***) ***-****. Member: FINRA, SIPC. Products are available in most states. Individual representatives may not be licensed to sell all products.
Nothing...
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...communication skills, and relationship skills to support strong customer service for current and new clients
Though not required, a valid FINRA Series 7 and 63/66 license is considered a plus
About Company
New York Life Greater Atlanta's mission is to provide...
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...increasing deferrals and driving crossover customers that creates Personal & Workplace Investment flows.
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the...
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...experience. A minimum of 5 years of prior wholesaling experience in the bank and/or wirehouse distribution channels is required, along with FINRA 6 or 7, 63, and Life and Health licenses. The ideal candidate will have a proven track record in sales, excellent knowledge of the...
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...experience managing a territory and meeting sales quotas. The role requires an adept public speaker with the necessary licenses, including FINRA Series 6 or 7 and 63, and NJ and NY Life and Health. The ideal candidate will be responsible for developing and implementing a...
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...disability income insurance, and investment products such as mutual funds(1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families...
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...professionals. Only individuals who are financial advisors are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA’s Broker Check for more information about our financial advisors.
Thrivent provides Equal Employment Opportunity (EEO) without...
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...disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with...
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...Outlook, Teams), Zoom and an ability to learn and understand Salesforce
Job Requirements:
Bachelor's Degree is required
FINRA SIE, 6, 63 and state licensing is preferred, but not required. We do encourage obtaining the licenses and will support sponsoring and...
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...Qualifications
Financial Service Knowledge, specifically 401(k) & Wealth Management
Understand compliance and regulatory framework for FINRA and SEC regulated businesses
Some knowledge of Insurance and/or Employee Benefits
Bachelor's degree in Business Administration...
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...for a mission driven organization give you meaning and purpose? Does the idea of working for a regulator speak to your moral compass?FINRA, the Financial Industry Regulatory Authority, has a critical mission- investor protection and market integrity.FINRA is hiring a...
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...income insurance, and investment products such as mutual funds (1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve...
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...as: Dodd-Frank, general consumer compliance, regulatory structure and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA, and the SEC
The team
Against an increasingly complex regulatory landscape, we help clients mitigate risk and achieve compliance...
Work experience placement
...oriented, investigative, and able to handle a high volume of work independently.
Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
Effective communication...
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...verbal communication skills
Team player
Strong client management/client service skills
Self-motivated, proactive work habits
FINRA Series 79 and 63
BA/ BS degree from a top tier university with demonstrated academic excellence.
This is a hybrid role. The...
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...focused exclusively on empowering independent financial advisors. SFA Partners includes The Strategic Financial Alliance (SFA), member FINRA/SIPC, a broker-dealer and investment adviser; Strategic Blueprint, a registered investment adviser; and SFA Insurance Services. Our...
...revenue generation
~ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses are required - or must be successfully completed within...
Permanent employment
Immediate start
Felony friendly
Afternoon shift
...Experience with integration of the MITRE ATT&CK framework with risk management and control assessments.
~ Experience required with FINRA, FFIEC, PCI, CCPA, NYDFS regulatory requirements.
~ Excellent analytical skills, including the ability to anticipate issues and...
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...duties as assigned.
Basic Requirements:
At least 5 years industry experience, inclusive of 2 years a supervisor/manager.
FINRA Series 7 Preferred
FINRA Series 63, 65, or 66 preferred
Must already be proficient in the following: Microsoft Excel, Word, Outlook...
Casual work
...SalesForce, Windows Microsoft Excel, Word, Outlook and Internet
Preferred Requirements:
Series 7 license preferred.
Completion of FINRA SIE exam
~ Education / Experience: • One to two years’ experience in Advisor group broker dealer call center or other related...
Full time
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...~ High school degree, GED, or foreign equivalent
~ Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed applicants must obtain...
Permanent employment
Immediate start
Felony friendly
Afternoon shift
$70k - $90k
...performance.
And Much More!
So, if you are a Client Service Associate with experience, please apply today!
Benefits Applicants must be authorized to work in the U.S.
Preferred Skills
FINRA series 65
Client Service Associate
Investment Management...
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