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Edward Jones-Stowe (VT)
the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
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14 similar jobs: Baker City, Novato, Pukalani, Eagan, Athens...
USAA-Phoenix
have:
• High School Diploma or General Equivalency Diploma required.
• Active Group 1 Life & Health license
• Active, in good standing, and maintained FINRA 7 license
• Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license...
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Edward Jones-Los Angeles
of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: [...].
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13 similar jobs: Golden, Mackinaw, San Jose, La Grange, Stowe...
USAA-Phoenix
Required maintenance of Life/Health license.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory...
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MissionSquare Retirement-New York
experience
One to three years of experience.
CFP, FINRA 7 and 63
Industry expertise in 457, 401, 403b, IRA’s and other qualified retirement plans
Effective presentation skills to large groups
Excellent interpersonal and communication skills
Demonstrated...
USAA-Colorado Springs
Required maintenance of Life/Health license.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory...
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Constellation-Cincinnati
we want to hear from you!
We'll support you in obtaining your FINRA Series 6 license within your first 12 months. If you're ready to invest in your professional growth, we'll be right there with you.
If you have at least 5 years of experience...
eTeam Inc.-Baltimore
2. openings
Pay Range -$19 -$20 per hour on W2
• Hybrid: 3 days per week in office
Monitor the daily activities of cash and margin accounts to ensure compliance with the regulations of the Federal Reserve Board (Regulation-T), FINRA, and s own...
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Northwestern Mutual-Orlando
and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals are required to have a minimum of three years...
Millennium Group-San Antonio
and transactions within agreed-upon SLOs and with a high degree of efficiency and effectiveness.
• Knowledge of suitability reviews/recommendations.
• Knowledge of regulatory requirements (NAIC, State, and/or FINRA).
• Effectively communicates findings...
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MissionSquare Retirement-United States
Will be required to present both before and after normal business hours.
If you have the following skills, we encourage you to apply:
Bachelor's degree or equivalent experience
One to three years of experience.
CFP, FINRA 7 and 63
Industry expertise in 457, 401...
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Pyramid Consulting, Inc-Grandview Heights (OH)
compliance with FINRA or other professional licensure requirements, Client policies, firms, plan documents and state and local laws.
Educates customers to ensure understanding of tax implications, penalties/surrender charges, death benefit protection...
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Santander Holdings USA Inc-Franklin D Roosevelt
responsible for executing compliance processes and controls for initiating, maintaining, and updating SEC, CFTC, FINRA, NFA related registrations and filings for the Firm and associated persons including Forms U4/U5, Form BD, Form BR, Form 7R, and assists...
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Rose International-Columbus
features in different states. Understands the consequences of not following the FINRA rules and regulations
• Excellent verbal and written communication skills to effectively communicate with others. Proficiency with computers and common office software...
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Santander Holdings USA Inc-West Peabody
and external relationships in an effort to develop referral sources and meet appointment objectives. Maintains required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products...
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