Search Results: 40 vacancies
...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
~...
Suggested
Base plus commission
Holiday work
Work experience placement
...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...
Suggested
Temporary work
Work experience placement
Flexible hours
...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...
Suggested
...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
Consults...
Suggested
Holiday work
Full time
Temporary work
Part time
Work experience placement
...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...
Suggested
...services.
Participates in special projects as needed.
Participates in community organizations and activities.
Bankers who hold a FINRA license are required to maintain their license in good standing by adhering to policies and procedures, including completion of all...
Suggested
For contractors
...Requirements
- Bachelor's degree in Business, Finance, Economics and/or related field (Master's degree preferred).
- FINRA Series 7. Series 66 is desirable.
- Solid understanding of investment products, financial market fundamentals, account management...
Suggested
Work experience placement
...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...
Suggested
Remote job
...organization
11. Bachelor's degree or equivalent education, training and work-related experience
12. Must possess and maintain appropriate FINRA registrations (e.g. Series 6 and 63)
13. Five years of proven sales experience in a retail life insurance sales or an institutional...
Suggested
Holiday work
Full time
Part time
Shift work
Day shift
...metrics allowing you to grow from managing a sales team up to an entire office.
Partner Requirements:
Life and Health License
FINRA SIE, Series 6 or 7
Experience in Financial Services industry
Sales experience
Sales team recruiting and management...
Suggested
...customer satisfaction.
Actively participates in any required personal, corporate and business line training.
For those SRMs who hold FINRA licenses, maintain licenses in good standing by adhering to policies and procedures, including completing firm and regulatory...
Suggested
Work experience placement
Immediate start
...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...
Suggested
Contract work
...Regal Securities is a FINRA registered national stock brokerage firm with an immediate opening for a Customer Service Specialist / Registered Representative experienced in new account processing, handling customer trade support, activity report generation, and managing...
Suggested
Immediate start
...ensuring the protection of sensitive information.
Compliance with all applicable regulations and industry standards, including SEC, FINRA, and other regulatory requirements.
Conduct regular security awareness training for employees to promote a strong security...
Suggested
...work experience
Three to five years of experience in a financial sales position, preferably working with the affluent client segment
FINRA Series 7 and 66 or, Series 7 and 63/65 combination and applicable state insurance license
Preferred Qualifications: Extensive...
Suggested
Holiday work
Temporary work
Work experience placement
Local area
Flexible hours
...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...
...responsibilities for this position
4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
FINRA series license 6, 63 and L&H upon hire
Ability to work with others in a team environment. Demonstrates strong interpersonal...
Work experience placement
Remote job
Work from home
Relocation package
Flexible hours
...and/or Certifications Requirements:
Bachelor’s degree in economics, finance, business administration or engineering required.
FINRA SIE preferred
FINRA Series 99 preferred
Minimum Work Experience Requirements:
1-3 years of relevant experience processing back...
Temporary work
Work experience placement
...income insurance, and investment products such as mutual funds1 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...
Contract work
...procedures
Adheres to all federal, state, SRO regulations and Firm policies related to all business activities. (e.g. OCC, SEC, FINRA etc.)
Ensures all Continuing Education requirements are attained
Responsible for understanding and adhering to TD Wealth...
Holiday work
Full time
Bank staff
Work from home
Flexible hours
