Search Results: 46 vacancies
FINRA's National Cause Program (NCP) is charged with the investigation of cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other regulatory sources. The Principal...
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Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...within the banking, capital markets and/or insurance industries (including thorough knowledge of the Basel Accord, Dodd Frank, FBO, FINRA, SEC, FinCEN, OCC, FDIC, CCAR, etc.) Experience should include at least 5 years of experience in one or more of the following:
+ Audit...
Suggested
Local area
...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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Holiday work
Local area
...trade secrets, non-competition, non-solicitation, non-disclosure agreements and other employment contract matters. Experience with FINRA Dispute Resolution is a plus.
The position offers the opportunity to work in our thriving Labor & Employment Practice Group, which...
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Contract work
...the team and quality.
What we're looking for
Must-haves:
* Exceptional communication and relationship management skills
* FINRA SIE License - must obtain within 120 Days
* FINRA Series 6 License - must obtain within 120 Days
* FINRA Series 63 License - must...
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Work experience placement
Remote job
Relocation package
Flexible hours
2 days per week
3 days per week
...reports directly to the Regional Operations Manager.
Responsibilities:
Process money movements of funds in accordance with FINRA rules
Handles client disbursements and delivery
Process cancellations and corrections of orders
Oversees the account...
Suggested
...relevant experience in addition to a Bachelor's degree in finance, business, or a related field.
* Proficient with relevant SEC and FINRA regulation in addition to the Series 7 and Series 24 licensures.
* Experience with electronic document management and workflow...
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Flexible hours
...Experience working as an advisor in a hybrid RIA preferred
Bachelor’s degree
Series 65; life and health insurance licenses
FINRA Series 7
CFP® designation, ChFC, or CRPC preferred
Minimum of ten years of experience as an Advisor, 15+ years in the industry...
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...planning field or in marketing these services.
Possess a Bachelor's degree in business, finance, or a related field
Obtain a FINRA Series 7 and 66 with help from the company
Get a Life and health license with assistance from the organization
Have an understanding...
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Contract work
Temporary work
Flexible hours
Shift work
$50k
...HAS:
Education: Bachelors degree preferred
Experience: 2+ years financial service experience.
Certifications/Licensure: FINRA Series 6 or 7 and 63, 65, or 66 - must have clean FINRA PA Life & Health Insurance License or willing to obtain them within 6 months...
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Full time
Remote job
...communicate
Strategic thinker who can work independently
Strong relationship building and territory management skills
Active FINRA Series 6, 63 and SIE or must obtain within the first 180 days of employment
Valid driver's license required
Preferred...
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Holiday work
...inspire client dedication with the goal of developing lifetime relationships with Fidelity.
The Expertise We re Looking For
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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Work from home
Flexible hours
...AAA) as of 9/12/19
*Securities can only be offered by properly licensed Registered Representatives of NYLIFE Securities LLC (member FINRA/SIPC), a Licensed Insurance Agency
**Source: Individual Third Party Ratings Reports as of 9/18/19.
NYLIFE Securities and Eagle...
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Fixed term contract
...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...
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Hourly pay
Flexible hours
....
* 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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Immediate start
Remote job
...recommendations and financial advice to help clients reach their monetary goals
Qualifications:
~ Though not required, a valid FINRA Series 7 & 63/66 license is considered a plus
Must be 18 or older with a valid driver's license and transportation
Life Accident...
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...products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as...
...years of demonstrated sales and business development experience with proven results (required)
Licenses and Certifications
FINRA Series 7 and 66 (or 63 & 65) (preferred)
Certified Financial Planner (CFP) (preferred)
Certified Investment Management Analyst (...
Temporary work
Work experience placement
Local area
Night shift
...and Investment Adviser Representatives of Equity Services Inc. (ESI - known as Vermont Equity Services in WI, NH, CO & MO), Member FINRA/SIPC, 1400 N. Providence Road, Rosetree Building 2, Suite 3007, Media, PA 19063. Evolution Financial Group is independent of ESI. National...
Full time
Contract work
Worldwide
...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...
Full time
Work from home
Flexible hours
