FINRA Jobs in Thousand Oaks
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Search Results - FINRA Jobs in Thousand Oaks
Fidelity Investments-Thousand Oaks
success in building relationships, uncovering needs and recommending solutions FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire Keen ability to present complex solutions...
efinancialcareers.com -
Equitable Advisors-Ventura, 19 mi from Thousand Oaks
to onboarding
• We will sponsor your pursuit of FINRA Series 7 and 66 registrations (to be completed on your own timebut no later than within 240 days of joining)
• Results-driven, highly motivated, self-starter who possesses integrity, a strong work ethic...
mindmatch.ai -
ADP-Culver City, 32 mi from Thousand Oaks
lose" mentality will help you build team and client relationships, identify solutions, and achieve success.
Bonus points for these: Preferred Qualifications
• Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA...
Cetera Financial Group-El Segundo, 34 mi from Thousand Oaks
of the Firm
What you need to have:
• Bachelor’s degree
• FINRA Series 7, Series 24, Series 63 license required. FINRA 65 or 66 required within the first 6 months. • 3+ years of relevant securities industry experience
• 2+ years supervisory and/or sales...
mindmatch.ai -
RSM US LLP-Los Angeles, 41 mi from Thousand Oaks
CIA, CPA certifications a plus
• Understanding of regulations and/or banking regulations (e.g., 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...
PlanMember Financial Corporation-Carpinteria, 38 mi from Thousand Oaks
or equivalent work experience) a major plus.
• Previous experience of four plus years in a financial services or operations role.
Licenses and/or Certifications Required
FINRA SERIES LICENSE – 7...
mindmatch.ai -
CIM Group-Los Angeles, 41 mi from Thousand Oaks
the United States? ✱
Will you require sponsorship, now or in the future, to work in the U.S.? ✱
Partner Solutions Associate - Mandarin
Do you have a current series 7 and 63 FINRA license? ✱
• YES
• NO
Do you have at least two year of financial sales experience...
appcast.io -
Fidelity Investments-Thousand Oaks
success in building relationships, uncovering needs and recommending solutions FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire Keen ability to present complex solutions...
efinancialcareers.com -
Avantax Planning Partners-Los Angeles, 41 mi from Thousand Oaks
of related experience and/or training.
• Experience with MS Excel and Word, and the internet, required.
• Experience with a financial planning software program(s) preferred.
Certificates, Licenses, Registrations:
• Required: FINRA Series 7/66, or 63/65...
mindmatch.ai -
Optima Partners-Los Angeles, 41 mi from Thousand Oaks
or other global regulators experience also a plus
• CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plusWork in a dynamic team environment in a growing region of a global Firm
• Regular opportunity for interaction...
mindmatch.ai -
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