...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
...-Participate in month, quarter, and year-end closing processes including variance analysis and preparation of financial reports and FINRA regulatory filings.
-Provide additional support as needed with internal and external audit requests and ad hoc research around accounting...
Suggested
Holiday work
Full time
Temporary work
Part time
Work experience placement
Remote job
...industry (including thorough knowledge of the key regulations and regulatory bodies for your industry e.g., CCPA, HIPAA, Alpha Regs, SEC/FINRA, OCC, Federal Reserve, FTC, GDPR, LIBOR, ESG, Climate and Social Regulations, Licensing & Registration, Payments). Experience should...
Suggested
Fixed term contract
Local area
...performance and work ethic requiring minimum supervision.
EOE
**Representatives are employed by and registered through CFS (Member FINRA/SIPC). To learn more about CUSO Financial Services, LP visit
CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable...
Suggested
...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...
Suggested
...information from various data sources including Client Contacts, Client-Provided Artifacts and third-Party Data Sources (Discovery, FINRA, IAPD, Client Web Sites)
· Review and approve SalesForce Change Requests
· Review and Disposition Marketo Data Exceptions
· Perform...
Suggested
...disability 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...
Suggested
Contract work
...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
...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 with...
Suggested
...browsing) and ability to educate clients on digital platforms and capabilities within Key (required)
Licenses and Certifications
FINRA License S6 Upon Hire (required)
FINRA License S63 Upon Hire (required)
FINRA Security Industry Essentials (SIE) Upon Hire (...
Suggested
...as needed
~ Ability to travel for business when required
~ Proficient with Microsoft Office (Excel, PowerPoint, Word, etc.)
~ FINRA Series 7(grandfathered), 79 or 52 and 63 licenses required, in addition the candidate will need to obtain a Series 50 within 6 months...
Suggested
Full time
Flexible hours
...companies of OneAmerica, visit oneamerica.com/companies.
If you are offered and accept this position, and you do not have the necessary FINRA licenses for the role, then you must timely obtain the required licenses.Additionally, prior to moving into this licensed role, you...
Suggested
Remote job
...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
...In-depth knowledge of life insurance and advanced sales techniques.
Holds current Insurance and Securities licenses.
Clean FINRA U4.
Bachelor's Degree preferred.
Industry Designations are advantageous.
About Us
Founded in 1970, our company has remained...
Suggested
Full time
Remote job
...firms.
- Strong background in life insurance and advanced sales capability.
- Active insurance and securities licenses.
- Clean FINRA U4 record.
- Bachelor's degree (preferred).
- Industry designations (preferred).
- Effective task and time management skills....
Suggested
Full time
Remote job
...self-motivated, team-oriented professionals ready to elevate their careers. We currently have an exciting opportunity for experienced FINRA licensed advisors who have achieved high levels of success in advising clients as well as in business development. As a registered...
Holiday work
Full time
Local area
Flexible hours
Afternoon shift
Monday to Friday
...BONUS POINTS FOR THESE: Preferred Qualifications
Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending appropriate licensing within the...
Permanent employment
Work experience placement
Internship
Remote job
Monday to Friday
...within 12 months of hire
Ability to adapt to a rapidly changing business and technology environment
Nice-to-have
Current FINRA registrations
Financial services experience
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking...
Full time
Flexible hours