Search Results: 28 vacancies
...learn about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Suggested
Local area
Remote job
Work from home
Home office
Flexible hours
...Pune, India.
*Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker-dealer and member FINRA / SIPC.
The Role
Client Services is responsible for managing client health for all new and existing Addepar clients. Support Analysts...
Suggested
Flexible hours
...Pune, India.
*Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC.
The Role
Addepar is currently seeking an experienced IT Support Manager to lead our US-based IT Support team! This team...
Suggested
Work experience placement
Flexible hours
...regulations, practices and markets infrastructure in the U.S. preferred, including an understanding of key U.S. regulations (e.g., SEC, FINRA, CFTC, FRB)
Experience interacting with regulators, or supporting regulatory audits or inquiries preferred
A strong...
Suggested
Work experience placement
...wealth management inquiries and following up on referrals
Maintains compliance to all credit union, NCUA, broker dealer, agency, FINRA policies and regulations
Ensures high member satisfaction
Supports revenue and expense controls for the wealth management team...
Suggested
Full time
...require someone to be local or willing to relocate there to be considered. They are looking for someone with extensive experience in a FINRA/SEC compliance environment.
More details about my client and the specifics of the role will be provided to qualified candidates...
Suggested
Full time
Local area
Immediate start
Relocation
Relocation package
...Innovation:
Lead projects and drive process innovation within the systems team.
Contribute to the preparation of documents for SEC/FINRA audits.
Prepare quarterly AUM/AUA figures.
Technology Implementation and Training:
Develop and implement technology...
Suggested
Holiday work
...we should provide credible challenge back to the business to see if they can process as is.
Qualification:
~ MUST HAVE active FINRA Series 7 License (or was active within last 18 month window so it can be re-activated quickly)
~6+ months of retail brokerage...
Suggested
Contract work
Remote job
Worldwide
Shift work
...experience required. Experience with project management or managing sales process preferred.
Licensed in all product lines preferred. FINRA Registered Representative and Principal, Series 6, 26 & 63 preferred.
Experience coordinating and tracking sales promotion email...
Suggested
Holiday work
Permanent employment
Full time
Work visa
...Fidelity.
The Expertise We re Looking For
Customer service experience
Proficiency in Mandarin as well as strong English skills
FINRA Series 7 and 63 preferred, OR ability to acquire upon hire (paid training & support provided)
Ability to work overnight schedule...
Suggested
Work from home
Flexible hours
Night shift
...learn about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Suggested
Local area
Remote job
Work from home
Home office
Flexible hours
...develop and update business plans.
- Cultivate relationships with Wholesalers to enhance service offerings.
Requirements:
- Hold FINRA Series 7, 63 & 65, or 66 licenses, as well as Life, Accident, Health & Insurance licenses.
- Maintain a clean U-4 record.
-...
Suggested
Full time
Remote job
...plus
~4-6+ years of experience leading service or operational teams at a wealth management or brokerage firm
~ Required licensing, FINRA Series 7 & 66 (65/63), life and health insurance
~ Strong understanding of financial products, investment strategies, and the...
Suggested
Holiday work
Bank staff
Local area
Currently hiring
...India.
~ Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC.
The Role
We are currently seeking a Sales Engineer to join our team. As the key consultative resource throughout our...
Suggested
Flexible hours
...agreements and achieve business results.
- Proficiency in mutual funds/separate accounts and understanding of risk/reward trade-offs.
- FINRA Series 6 & 63 licenses required.
- Bilingual proficiency in Spanish.
Preferred Qualifications:
- Knowledge of Deferred...
Suggested
Holiday work
Full time
Casual work
Remote job
Work visa
...authentic selves
Training and support
To get started as a Financial Professional, Equitable Advisors will sponsor your pursuit of the FINRA licensing requirements as well as help you navigate state licensing needs.
Our entry level training curriculum is designed to...
Temporary work
Local area
Remote job
...Pune, India.
*Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC.
The Role
We are currently seeking a Portfolio Data Analyst to join our Portfolio Data Team!
Addepar provides asset owners...
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
...investment banking, auditing, or other directly related experience. A combination of education and experience may meet requirements.
FINRA Series 7 and 66 certifications are required. FINRA Series 24 preferred.
In-depth knowledge of advisory and fiduciary asset...
Holiday work
Work experience placement
Local area
Flexible hours
...Ability to thoroughly investigate and problem solve; to see an assignment through from conception to completion
• Knowledge of SEC, Finra and firm compliance policies
• Effective written and verbal communication skills
• Strong attention to detail
• Ability to...
Full time
Work experience placement
Worldwide
Flexible hours
