Search Results: 20 vacancies
...Representative's business with day-to-day administrative assistance while enhancing the service experience of clients*.
*This role requires FINRA licensing within 12 months of hire to allow the incumbent to expand the client support provided to the Representative.
What you...
Suggested
...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
...and development activities.
Certifications:
Certified Financial Planner \u00AE / CFP-\u00AE - Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission...
Suggested
Work from home
Flexible hours
...State, Broker Dealer, and Columbia CU regulations, policies and procedures. Process incoming business to multiple companies, meeting FINRA and state insurance regulatory requirements. Assists management and department staff to ensure all FINRA and insurance audit...
Suggested
Holiday work
Full time
Local area
Work from home
...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...
Suggested
$234k - $306k
...have:
~8+ years of experience working in compliance role, ideally in a financial technology company or in the payments industry
~ FINRA Series 24 and/or Series 27 licenses
~ Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment...
Suggested
Remote job
...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...
Suggested
Full time
Work from home
Flexible hours
...financial services, investments, or related experience
One to two years of job-related experience in a financial sales position
FINRA licenses: Series 7, 63 and 65 or Series 7 and 66
Partially licensed candidates will be considered. Under-licensed candidates will...
Suggested
Holiday work
Temporary work
Work experience placement
Remote job
Flexible hours
3 days per week
...with events, acting as an event coordinator and person of contact.
Troubleshoot minor technical and service issues.
Maintain a FINRA compliant filing system with all records.
Communicate with members/clients in a positive manner both in person and/or by...
Suggested
...-or-
• Prior management or business owner experience
Preferred but not required to apply:
• Life and Health License
• FINRA registrations; SIE, Series 6 or 7
• Previous sales experience
Why New York Life?
From quality training programs to a competitive...
Suggested
...as you navigate our Industry leading training program, working at home and in an Investor Center.
Obtain Licenses: Become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and...
Suggested
Full time
Flexible hours
1 day per week
...Requirements:
~ Bachelor's degree in business, finance, or related field.
~2 years of sales experience.
~ Must have current FINRA Series 7 and 63 Securities Registration (66 or 65 preferred).
~ Knowledge of mutual funds, securities, and insurance industries....
Suggested
Full time
...results
~ High school degree, GED, or foreign equivalent
~ Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. All unlicensed applicants must...
Suggested
Immediate start
Felony friendly
Afternoon shift
...focused on phone-based sales or virtual connections
Your Qualifications:
~2+ years experience working in financial services
~ FINRA Series 65 or a combination of FINRA Series 7 and 66 preferred
~ Multi-year track record of success driving results
~ Success...
Suggested
Holiday work
Full time
Remote job
...programs\u202Fare designed to help you and your\u00A0family\u00A0strike the right balance.\u00A0\u00A0
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the...
Suggested
Remote job
Work from home
Flexible hours
....
Experience with a financial planning software program(s) preferred.
Certificates, Licenses, Registrations:
Required: FINRA Series 7/66, or 63/65 combo.
Preferred: CFP certification.
Preferred: Insurance licenses, including Life, Health, and Long-term...
Remote job
Holiday work
...Job Description Salaried Financial Advisor / Retirement Plan Sales Consultant
Are you tired of commission? You obtained your FINRA licenses and exhausted your network to sell insurance and investment products to family and friends. Are you looking to become a specialist...
...Display good analytical skills.
Provide excellent customer service.
Accredited with the Financial Industry Regulatory Authority (FINRA)
Life/Health Insurance License
Successful track record of meeting sales goals/quotas preferred
BENEFITS:
Salary plus...
Relocation bonus
...and revenue generation
~ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses are required - or must be successfully completed...
Immediate start
Felony friendly
Afternoon shift
...review, test and modify policies and procedures designed to achieve compliance with applicable securities laws and regulations and FINRA rules evidenced in annual FINRA Rule 3130 certification\
\
in house jobs, in-house jobs California, In house counsel jobs New York...
Full time
Remote job
