FINRA Jobs in Phoenix
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USAA-Phoenix
be required to have the ability to obtain Life/Health license and any required Carrier appointments within 90 days of job entry.
• RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7, 66 (or 63 and 65), 24, and 51 (or 53), and/or attainment within...
USAA-Phoenix
to obtain Life/Health license and any required Carrier appointments within 90 days of job entry.
RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7, 66 (or 63 and 65), 24, and 51 (or 53), and/or attainment within 90 days of job entry.
8 or more...
mindmatch.ai -
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...
Mutual of Omaha-Phoenix
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
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...
Mutual of Omaha-Phoenix
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Phoenix
correspondence, and responding to FINRA inquiries. The Specialist will also provide ongoing customer service, support compliance-related requests, and apply continuous improvement techniques to enhance procedural efficiency. The position demands high attention...
joincambridge.com -
Mutual of Omaha-Phoenix
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Charles Schwab-Phoenix
63 license is beneficial but not required
• If you are not licensed and would like to obtain FINRA licenses, we have outlined a path for you to pursue your career interests
What's in it for you
At Schwab, we're committed to empowering our employees...
Mutual of Omaha-Phoenix
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Phoenix
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries...
icims.com -
Mutual of Omaha-Phoenix
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Phoenix
a broker dealer/RIA.
Financial Industry Regulatory Authority (FINRA) Series 7 is required.
Compensation: $175,000 base pay plus incentive compensation. This salary is a good faith estimate of the compensation to be offered for this position based...
joincambridge.com -
USAA-Phoenix
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 requirements.
Additionally...
tiptopjob.com -
Phoenix
on the latest FINRA, SEC, and other regulatory body regulations to ensure the firm remains in full compliance.
• Ensure Policy Adherence: Monitor adherence to compliance procedures, flagging potential violations and supporting corrective actions as necessary...
joincambridge.com -
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