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Finra jobs - Plymouth Meeting, PA

Viewing 1 - 10 of 297 jobs

  • PCG Compliance Specialist

    Wells Fargo - Jenkintown, PA

    and 9/10, and/or obtain the qualifying registration(s). FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful completion of qualifying exam. - Experience...

    12 days ago from BrokerHunter.com

  • Financial Representative

    Thrivent Financial - Cherry Hill, NJ

    uild solid relationships with Lutheran members and congregations. You also must: Obtain and maintain state insurance licenses (life/health, variable annuity, variable universal life); and FINRA Series 7 and 66, or Series 7 and 65; and...

    18 days ago from ZipRecruiter

  • REGULATORY COMPLIANCE SPECIALIST

    Client Company - Philadelphia, PA

    Level II) KNOWLEDGE/SKILLS: Extensive knowledge of SEC, FINRA & related regulations Impeccable ethical standards Superior interpersonal relationship skills (particularly with clients) High level of attention to detail Strong follow-up...

    2 days ago from ZipRecruiter

  • WFA REGIONAL SUPERVISOR 2

    Wells Fargo - Radnor, PA

    which support brokerage activities may require specific FINRA securities registrations. Required registration(s) ... FINRA Series 7 and 9/10 or equivalent licenses are required at the time of hire...

    13 days ago from BrokerHunter.com

  • Personal Financial Representative

    Allstate Insurance - Philadelphia, PA

    eader in the industry and in local communities What Do You Need? At least 3 years of life insurance and financial services sales experience State Life/Health Insurance Licenses FINRA Series 6 and 63 Securities Licenses A strong...

    13 days ago from ZipRecruiter

  • Administrative Assistant

    Tiaa-cref | Financial Services® - Philadelphia, PA

    highest level of quality following regulatory procedures (FINRA). Candidates will be working closely with both ... various files, logs and tracking systems in accordance with FINRA regulations Create internal/external correspondence...

    30+ days ago from BrokerHunter.com

  • Associate Vice President

    Nw Recruiters - Philadelphia, PA

    achelor's degree Strong communication skills including the ability to deliver persuasive, succinct presentations and messages Must have 3-5 years of licensed financial experience. FINRA Series 7 and 63 licenses to be obtained within 90...

    16 days ago from ZipRecruiter

  • Licensed Financial Advisor

    CUSO Financial Services - Plymouth Meeting, PA

    Qualified candidates must have: Licenses and Registrations: Finra Series 7, 63, 65 or 66, and Life, Accident, Health & Insurance licenses. Clean U-4 Trailing 12 month production over $300,000 Five+ years of sales experience in the...

    2 days ago from CUSO Financial Services, L.P.

  • Account Maintenance Admin

    BNY Mellon - King of Prussia, PA

    - BA/BS business-related college degree required - FINRA Series 7, 24 a plus - Microsoft Office experience preferred - 2 years separately managed accounts experience at a sponsor firm or money manager a plus - Excellent written, verbal and...

    6 days ago from BNY Mellon

  • Mutual Funds & Annuities Associate

    Prudential - Dresher, PA

    performance measures e.g. quality, slippage • FINRA Series 6 and Series 63 license preferred but not mandatory. **Job:** **Operations** **Title:** **Mutual Funds & Annuities Associate** **Location:** **Pennsylvania-Dresher** **Requisition...

    30+ days ago from Prudential

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