Search Results: 18 vacancies
...fit within the company's risk appetite.
Qualifications:
~ Bachelor's degree
~ Must hold either a J.D. or CPA designation
~ FINRA Series 7, 24 and 66 (or ability to obtain within 12 months)
~5+ years previous experience in the financial services industry that directly...
Suggested
Home office
Flexible hours
2 days per week
3 days per week
...Previous inside or outside sales experience.
Previous wholesaling or related experience in the financial services industry.
FINRA Series 6/63 and state Life/Health Insurance licensures.
You may not check every box, or your experience may look a little different...
Suggested
Currently hiring
Flexible hours
2 days per week
3 days per week
...reviewing sales strategies to make sure they fit within our risk appetite.
Travel approximately 20% of the time
Qualifications:
FINRA Series 7, 24 and 66 (or ability to obtain within 12 months)
Bachelor's degree required, J.D. or CPA strongly preferred...
Suggested
Work from home
Home office
Flexible hours
...and procedures, train in the office and resolve issues.
Education/Qualifications
~5+ years financial industry experience
~ FINRA Series 7, 66 (or 63 and 65) and State Insurance Licenses or willing to obtain after hire
~ Knowledge of financial administrative processes...
Suggested
Holiday work
Temporary work
Flexible hours
...role.
Requirements
Bachelor’s degree or equivalent experience. Military veterans are encouraged to apply.
Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting.
Satisfactory background check, fingerprinting and securities...
Suggested
Hourly pay
Flexible hours
...would demand for ourselves.
Follow the established guidelines for maintaining client files in accordance with company practices and FINRA requirements.
Attend all required training, informational meetings scheduled by VP Wings Financial Advisors and Wings Financial....
Suggested
Local area
...with a minimum of 3-5 years of experience, preferably familiar with complex business and financial disputes, including arbitrations. FINRA experience a plus. Exceptional writing skills are imperative. If you're looking for a firm to grow with long-term -- reach out to...
Suggested
Full time
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...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 and Series 63 within one year of employment.
Position Demands
~ Access to an automobile and ability to maintain a...
Suggested
Local area
Night shift
Afternoon shift
Weekday work
...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...
Suggested
Full time
Work from home
...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...
Suggested
Full time
Remote job
Work from home
Home office
...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...
Suggested
Casual work
...experience, preferably conducting review of transactions, exam findings, surveillance follow up and outside business activity approval.
~ FINRA Series 7, 24, 53, 66 (or 63 / 65) are required.
~ Good written and verbal communication skills.
~ Required technical strength to...
Suggested
Full time
Remote job
Home office
...supervision/compliance
~2 years of related experience conducting suitability review of transactions
~ Understanding of relevant FINRA and SEC rules and regulations.
~ Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments...
Suggested
Full time
...Responsibilities:
Regulatory Reporting (Primary):
Prepare FOCUS and relate reports
Prepare SIPC reports
Monitor compliance with FINRA and SEC regulations, including net capital
Broker-Dealer net capital monitoring and forecasting
Special projects, including...
Suggested
Full time
Remote job
...growth or in response to financial professional requests to director, executive and C-suite level
Preferred Requirements:
~ FINRA Series 7, 24, 65, or 66 licenses
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in...
Suggested
Full time
Self employment
Remote job
...attention to detail, and a passion for excellence
~ A working knowledge of spreadsheet and word processing software programs
~ FINRA Licenses - Series 63, Series 79, SIE
At this time, TripleTree as part of Capital One will not sponsor a new applicant for employment...
Full time
Part time
Local area
...similar capacity.
Strong verbal and written communication skills are required.
Ability to interpret the Sales Practice Manual, FINRA Rules and Notices to Members, Compliance notices, and other publications concerning broker/dealer regulations.
Must be proficient...
Full time
Remote job
...sales by advisors.
Recommend best interest products that adhere to AG supervision and due diligence standards.
Knowledge of SEC, FINRA and DOL compliance rules and regulations
Train and educate on uses of fixed and fixed index annuities to advisors.
Develop...
Full time
Remote job
