Search Results: 20 vacancies
...well as any subsequent updates or guidance as put forth by the regulatory bodies or agencies including but not limited to the SEC, FINRA and FinCEN.
Communicate directly with appropriate business liaisons and advance issues as appropriate to management in a timely...
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....
QUALIFICATIONS
• Excellent interpersonal skills and sales abilities
• Someone who believes in financial products and services
• Self-motivated
• Demonstrates determination and commitment
• Willing to obtain licenses: Life & Health, FINRA Series 7 & 66...
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...grow their business so that we can increase our assets under management, and our market share.
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial...
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...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
...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...
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...the phones) to join team activities, get well-being support, and career coaching. \u00A0\u00A0There also is an option to acquire your FINRA Series 7 and 63 licenses depending on Career Path.
Advantages of the program \u2026
Onboarding & Experiential Learning:...
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Full time
Remote job
Work from home
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Shift work
Night shift
Monday to Friday
...large-scale projects with tight time constraints.
Strong communication skills and demonstrated excellence in project management.
FINRA Series 7 and 63 required or obtained within 90 days.
The Team
The Learning & Enablement team is instrumental in ensuring that...
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...for adequate completeness and accuracy. Additionally, conducting final suitability/best interest determinations in accordance with FINRA regulations, SEC regulations, and internal policies/guidelines is required.)
Primary responsibilities include
+ Exercise reasonable...
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...financial future.
Please note this role requires in-person attendance in the assigned Branch location.
Certifications:
Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA
Company Overview
Fidelity Investments is a privately held...
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Local area
Work from home
Flexible hours
...advanced degree or global experience a plus
Minimum 3-4 years of product and industry experience Fidelity experience desirable
FINRA Series 7 and 63 required or must be obtained within 90 days of hire
Familiarity with Defined Benefit and public sector...
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...understanding of the regulatory framework for broker dealers, including relevant laws, rules and regulations
Experience advising on SEC, FINRA, and other laws, rules and regulations applicable to investment advisers and broker-dealers
Strong work ethic, excellent judgment...
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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...
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...You are Learning. \u00A0We provide all the training you need to develop the skills needed to service our customers and study for your FINRA licensing exams! You don t need a finance background or college degree to succeed in this role. Prepped with our licensing roadmap,...
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...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...
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...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...
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Full time
Local area
Remote job
Work from home
Home office
Flexible hours
...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...
Full time
Local area
Remote job
Work from home
Home office
Flexible hours
...responding to all client service requests, client appointment scheduling and preparation, and audit preparation while adhering to all FINRA, CCOIS, CFG and state securities regulations on a daily basis. You are responsible for the new account opening process, while...
Full time
Temporary work
Local area
...sources and meet appointment objectives
Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement and all applicable state and federal regulations.
Provide...
Contract work
Work experience placement
...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...
Remote job
...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
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