Charlotte, North Carolina, United States Hybrid / WFH Options
NTT DATA
in Risk and/or Compliance supporting the Financial Services industry - Experience in one or more of the areas below: - Capital Market Regulations, including FINRA, SEC, DTCC, etc. - Financial Crimes, including AML Risk Assessment, KYC (CDD+EDD), transaction monitoring and sanctions screening - Fraud Management, including synthetic and digital fraud - Governance Risk more »
in Risk and/or Compliance supporting the Financial Services industry - Experience in one or more of the areas below: - Capital Market Regulations, including FINRA, SEC, DTCC, etc. - Financial Crimes, including AML Risk Assessment, KYC (CDD+EDD), transaction monitoring and sanctions screening - Fraud Management, including synthetic and digital fraud - Governance Risk more »
and procedures pertaining to complex customer scenarios and translate them into outstanding customer interactions What you bring Bachelor's Degree from an accredited institution FINRA Series 7 and 63 Licenses 2+ years experience in a support/service role for a financial services company Brings positivity to our ever changing more »
Littleton, Colorado, United States Hybrid / WFH Options
Empower
Bachelor's degree, business or finance preferred. 2+ years customer service experience in financialindustry Experience trading in equities, fixed income and options preferred FINRA Series 7 and Series 63 required . FINRA fingerprinting upon hire What will set you apart Demonstrate enthusiasm for providing quality service in a professional more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during 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), as well as required CE training to ensure licenses remain in good standing. Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received. more »
communication and interpersonal skills, with the ability to collaborate effectively with stakeholders at all levels of the organization. Experience with regulatory compliance (e.g., SEC, FINRA, GDPR) and security best practices in the financial services industry. Proven track record of successfully delivering complex technology projects on time and within budget. more »
the equivalent combination of education and experience is required. 5-7 years of total work experience is preferred. Experience in brokerage processing is preferred. FINRA license is required - 9/10 or 24 At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards: Fortune more »
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during 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), as well as required CE training to ensure licenses remain in good standing. Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received. more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during 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), as well as required CE training to ensure licenses remain in good standing. Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received. more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. 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 more »
Littleton, Colorado, United States Hybrid / WFH Options
Empower
industry experience with demonstrated sales success required. Exceptional listening, verbal, and presentation skills. In-depth understanding of retail investment vehicles and qualified retirement plans. FINRA Series 7, 63, and 65 (or 66) registrations required. FINRA fingerprinting required. What Will Set You Apart: A passion for helping mass-affluent customers structure more »
Littleton, Colorado, United States Hybrid / WFH Options
Empower
met. Field escalated issues from representatives, clients, and participants. Identify trends in escalated issues and proactively address staff and customers. What You Will Bring: FINRA Series 7, 24, 63 and 65/66 registrations required within corporate-established timelines FINRA Fingerprinting required CSA (Certified Senior Advisor) designation within corporate-established more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. 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 more »
procedures. What you 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 Must be able to successfully pass background check and meet more »
procedures. What you 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 Must be able to successfully pass background check and meet more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.) Understanding of FINRA and SEC rules At RSM, we offer a competitive benefits and compensation package for all our people. We support and inspire you to prioritize your more »
TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.) Understanding of FINRA and SEC rules At RSM, we offer a competitive benefits and compensation package for all our people. We support and inspire you to prioritize your more »
