FINRA Jobs in Scottsdale
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Search Results - FINRA Jobs in Scottsdale
TRC Talent Solutions-Scottsdale
internal controls aligned with FINRA and SEC regulations
Identify and escalate risk-based findings; partner with Supervision and Compliance on corrective actions
Serve as the primary home office contact for supervision-related inquiries
Support...
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Randstad-Scottsdale
of knowing our member better than anyone and use the information in a way that drives the relationship deeper.
• Follows all rules and regulations to ensure compliance with FINRA or other professional licensure requirements, company's policies, firms, plan...
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randstadusa.com -
Charles Schwab-Scottsdale
and valid FINRA Series 7 license
• May be obtained with a 120-day condition of employment
• Active and valid FINRA Series 66 license required
• May be obtained with a 120-day condition of employment
• Five or more years of advisory experience, including...
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USAA-Phoenix, 11 mi from Scottsdale
Health license and required maintenance or ability to acquire within 90 days of hire.
• 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...
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PNC Financial Services Group-Scottsdale
may be considered.
Education
Bachelors
Certifications
No Required Certification(s)
Licenses
FINRA Series 7 and 66 (or 63,65) required. Life and Health Insurance required.
Benefits
PNC offers a comprehensive range of benefits to help meet your...
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Charles Schwab-Scottsdale
you love, this may be the opportunity for you.
What you have
Required Qualifications
• Bachelor’s degree
• Active FINRA Series 7 license
• (May be obtained with a 120-day condition of employment for certified and current CFP® designation or CFA...
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PNC Financial Services Group-Scottsdale
to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit...
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Charles Schwab-Paradise Valley (AZ), 3 mi from Scottsdale
you love, this may be the opportunity for you.
What you have
Required Qualifications
• Bachelor’s degree
• Active FINRA Series 7 license
• (May be obtained with a 120-day condition of employment for certified and current CFP® designation or CFA...
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Charles Schwab-Paradise Valley (AZ), 3 mi from Scottsdale
and valid FINRA Series 7 license
• May be obtained with a 120-day condition of employment
• Active and valid FINRA Series 66 license required
• May be obtained with a 120-day condition of employment
• Five or more years of advisory experience, including...
Read more
Fidelity Investments-Phoenix, 11 mi from Scottsdale
outbound calls to communicate resolution to the client or secure additional information to close out the request
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Category:
Customer Service
Most roles at Fidelity are Hybrid, requiring associates...
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