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Successfully completed Financial Industry Regulatory Authority FINRA Series 7 and Series 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Successfully completed FINRA Series 7 and 63 exams to qualify for immediate registration (or FINRA recognized equivalents. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.
Full-timeExpandApply NowActive JobUpdated 25 days ago - UpvoteDownvoteShare Job
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
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You have experience with the technical requirements needed to comply with regulatory and compliance frameworks, namely GDPR, PCI, HIPAA, FINRA, and Data residency. You will excel in performing discovery, crafting creative and best-practice solutions that deliver immediate and future business value as our customers scale with us.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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Oversee risk management to ensure vendor compliance with company, FINRA and SEC standards. We have an immediate opening for a Vendor Manager in our Los Angeles office. Oversee risk management to ensure vendor compliance with company, FINRA and SEC standards.
$81,000 - $107,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Equitable Advisors is a dynamic and growing financial services company, has an immediate opening for a District Manager.
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A commitment to obtaining FINRA registrations, industry licenses and designations would be required to join our team of experienced sales managers. Financial Sales Manager - IN, Bloomington, Lafayette, Fort Wayne, South Bend (2538.
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Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor. Key responsibilities include: recruiting and selecting new financial sales professionals and supporting their development through training, coaching and joint-work opportunities, fostering relationships with existing experienced financial professionals, and ensuring compliance oversight and supervision.
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Financial Sales Manager - NY, Albany, Buffalo, Vestal, Rochester & Syracuse; PA, Erie (2457) In addition, the District Manager will exemplify the successful financial professional profile by maintaining a sound, profitable personal and district sales practice consistent with branch and company strategy.
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Financial Sales Manager - FL Tampa, St. Petersburg, Sarasota (3981) We offer a generous compensation model, asset-accumulation strategies, recognition programs, and a comprehensive benefits package including 401(k) and company-paid retirement plans.
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You have the vision to chart long-term strategies and the persistence to put those strategies into practice. Take this opportunity to turn your strong leadership abilities and effective management skills into a rewarding practice.
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Member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Financial Sales Manager - WA, Seattle (2627) member FINRA, SIPC (Equitable Financial Advisors in MI & TN). The individual selected will be responsible for building and implementing a marketing and business plan committed to long-term growth and productivity goals.
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We are leaders with perseverance and discipline, and we can look forward to the opportunity for a satisfying professional future. If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please email us at FPRecruiting@equitable.com.
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Regal Securities is a FINRA registered national stock brokerage firm with an immediate opening for a Customer Service Specialist experienced in new account processing, handling customer trade support, activity report generation, and managing client phone calls.
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