Search Results: 175 vacancies
...Compliance Ops Associate - FINRA Series 24
If you are a highly motivated individual and looking to join a vibrant growing company, Hennion & Walsh, Inc. may be the right choice for you.
Overview
Hennion & Walsh is an advocate for the individual investor. We believe...
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...Execution Firm Groups. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms that primarily provide brokerage services or effect transactions on behalf of an individual customer or an account...
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Immediate start
...designed to elevate your career. At PNC Investments, we are passionate about our values and helping our advisors build their future.
FINRA series 7 & 66 (or combination of series 63 / 65) and Life, Health & Accident Insurance are required
Job Description...
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Holiday work
Full time
Temporary work
Part time
Work experience placement
...learn about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
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Local area
Remote job
Work from home
Home office
Flexible hours
...learn about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Suggested
Local area
Remote job
Work from home
Home office
Flexible hours
...learn about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Suggested
Local area
Remote job
Work from home
Home office
Flexible hours
...for appropriate insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities...
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Hourly pay
Holiday work
Full time
Traineeship
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Home office
Relocation package
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.../ , and Raymond James Financial Services, Inc., member / , are subsidiaries of Raymond James Financial, Inc.New York Stock Exchange SIPC FINRA SIPC
Raymond James and Raymond James Financial are registered trademarks of Raymond James Financial, Inc.
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Work experience placement
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Home office
...training, calls, and meetings requested by manager or Suncoast
Maintain compliance with established policies and procedures, firm and FINRA regulatory requirements
Implement full disclosure of all fees, charges, and regulatory disclosures
Qualifications
~...
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Base plus commission
Holiday work
Work experience placement
...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, and Series 63 or equivalent prior to hire.
Position Demands
~ Access to an automobile and ability to maintain...
Suggested
Local area
Home office
...for appropriate insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities...
Suggested
Hourly pay
Holiday work
Full time
Traineeship
Remote job
Home office
Relocation package
...math skills, communication skills, and relationship skills to support strong customer service for current and new clients
•Valid FINRA Series 7 & 63/66 preferred but not required
•Working knowledge of financial products, the financial industry, personal financial advisor...
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...Skills
Have a Sound Risk Management: Analysis & Complex Problem-Solving, Integrity & Rule Compliance
What You'll Need
FINRA Series 99 preferred
Associate degree required, Bachelor's degree preferred
Minimum five years of previous work experience...
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Temporary work
Work experience placement
Flexible hours
...Management (AUM) in fee-based solutions and trust services in connection with member needs
Maintain compliance with all applicable STIS, FINRA, SEC, State of Florida, and broker-dealer laws, regulations, policies, and guidelines
Administer assigned accounts according to...
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Holiday work
Work experience placement
Local area
Afternoon shift
...and Exchange Commission, The Federal Reserve Bank, the Commodity Futures Trading Commission, Financial Industry Regulatory Authority (FINRA), and other governmental agencies, self-regulatory organizations and internal policies and industry best practices.
**What Youll...
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Flexible hours
...Non-participating products are also issued by its wholly-owned insurance company subsidiaries.
**Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.**
Recognized as one of Fortune's World's Most Admired Companies,...
Holiday work
Full time
Part time
Local area
Monday to Friday
...math skills, communication skills, and relationship skills to support strong customer service for current and new clients
•Valid FINRA Series 7 & 63/66 preferred but not required
•Working knowledge of financial products, the financial industry, personal financial advisor...
...experience within research, data or control room compliance.
~ Bachelor's degree in Finance, Economics or similar is preferred.
~ FINRA SIE, Series 7 or 3 licenses, or IACCP designation are a plus.
~ Must be very detail oriented and organized, and able to work...
...procedures.
Qualifications
•Bachelor's degree in Finance, Business, or a related field
•Relevant professional certifications - FINRA Series 99 is required
•Proven experience in securities operations or a similar role within a broker-dealer environment
•In-depth...
...in any sales related activities.
- Assist Participant Service management with special projects or assignments which do not require FINRA registration.
Qualifications we are looking for:
* Excellent telephone voice, communication skills, and customer service skills...
Holiday work
Full time
Remote job
Shift work
Saturday
Monday to Friday
