Search Results: 67 vacancies
...Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.)
Obtain and hold State Life and Health license prior to hire.
Obtain and hold the FINRA SIE, Series 6, Series 63 & Series 26 or equivalent prior to hire.
Position Demands
~ Access to an automobile and ability to...
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Temporary work
Local area
Work from home
Home office
...responsible for responding to a broad range of regulatory examinations and inquiries from federal and state securities regulators, FINRA, and other SROs. The REI team also supports LPL's bank and credit union partners in responding to examination and audit requests related...
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...term care insurance, disability insurance, and investment products offered through our broker-dealer arm NYLIFE Securities LLC (member FINRA and SIPC), a Licensed Insurance Agency, and workplace solutions offered by our Business Solutions division. You can also use our...
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...to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect to commence operations in 2024.
This is an exciting opportunity for an...
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Work experience placement
Flexible hours
...minimum supervision
Ability to operate in highly confidential arena
Position Requirements
Education/Experience
FINRA Series 7 and 65 or 66 required
Insurance licenses required: Life, Health, and Long-term Care
Bachelor's degree in...
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Full time
Part time
...You have a Bachelor's degree or eight years of equivalent experience.
You have 1 year of industry-related experience required.
FINRA licensing required including SIE or equivalent and Series 7 & Series 66 required within 90 days of employment.
Bilingual (English...
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Hourly pay
Permanent employment
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Work experience placement
Immediate start
Offshore
H1b
...Management methodology environment
Preferred Qualifications
Variable Annuities and/or Retirement Plans, highly desired
FINRA Series 6 or 7 License, a big plus
SalesForce Management Experience
SalesForce technological trends and advances
Computer Knowledge...
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Work experience placement
Local area
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...Locations:
* Charlotte, NC
* Minneapolis, MN
* West Des Moines, IA
* Irving, TX
* Tempe, AZ
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are...
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Work experience placement
...Microsoft Office, financial planning software, Google Suite, CRM systems, and related programs is needed
Though not required, a valid FINRA Series 7 & 63/66 license is considered a plus
Basic understanding of the role of a financial advisor or financial consultant, as...
Suggested
...Auditor, CISA - Certified Information Systems Auditor, and CISSP - Certified Information Systems Security Professional
Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
Experience with operating in a highly matrixed environment
Excellent...
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...and maintain all records regarding new hire processing, individual licensing andregistration needs.
Review and process the initial FINRA form U4s, Departments of Insurance License/Appointment applications, Appointmentrenewals and Contracting updates for candidates....
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Temporary work
Local area
...degree or equivalent work experience required.
* Zero to Three (0-3) years' experience as Officer or equivalent work experience.
* FINRA Series 7, Series 63, and Series 24 are required.
* The Series 53 and Series 79 are preferred.
* Computer/Technical: Demonstrates...
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Work experience placement
Bank staff
...A four-year college degree is preferred but not required
You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 exams (other designations a plus)
Results-driven, highly motivated, self-starter who possesses integrity, a strong...
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Remote job
...interactions
- Proficient in Microsoft Office with a focus on Excel and PowerPoint
- Familiarity with Bloomberg would be beneficial
- FINRA Series 7 license preferred
- Highly motivated to drive process efficiency and improvements
The role offers a hybrid/flexible...
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Work experience placement
Remote job
Flexible hours
3 days per week
...Sales experience preferred.
Highly self-motivated and self-disciplined.
Relationship building and networking abilities.
FINRA Series 6/63, Series 7 - not required.
Financial Industry background a plus.
About Company
New York Life, a Fortune 100 company...
Suggested
...deep subject mastery of complex financial concepts like equities trading, margin, and options trading
****About you:****
* Active FINRA Series 7 and 63 Licenses with an ability to quickly put your brokerage knowledge into action
* Excellent customer service, written...
Shift work
Afternoon shift
...each case from start to finish with exceptional quality
+ Handle complex cases with strong decision making skills
+ Follow all FINRA guidelines regarding transactional processing, call handling and record keeping
+ This role will serve as a one-stop-shop for top...
Full time
Temporary work
Local area
Remote job
...detail
* Ability to work individually and a member of a high functioning team.
* Proficient in Microsoft Suite
Preferences:
* FINRA SIE or securities registration
* Knowledge and Experience working with DTCC
* Experience working with Thomson Reuters BETA
*...
Work from home
...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...
Local area
Work from home
Flexible hours
...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...
Work from home
Flexible hours
