in brokerage or financial services (required) Licenses and Certifications FINRA License S6 (required) FINRA License S63... (required) FINRA Security Industry Essentials (SIE) (required) FINRA Series 7 and Life Insurance (preferred) Skills Investment...
. We are seeking a customer-focused FINRA Series 6 or 7 Licensed Support Representative to provide service and support to clients..., distributions, and account updates, ensuring compliance with company policies and FINRA regulations. Escalate complex issues...
in the CRD and FINRA systems and process all related documentation. Keeping track and assisting in the annual compliance...
of relevant financial services experience FINRA Series 6 or 7 FINRA Series 63 (or obtain within six months of hire) FINRA...
their series 6 and 63 FINRA securities licenses. Job Responsibilities: Educates employees on account information, plan benefits... and collaboration opportunities with other business units as needed. Job Requirements: FINRA Series 6 and 63 securities licenses...
in FINRA arbitration, U5 disputes, and regulatory defense to represent financial professionals in expungement proceedings... and has experience navigating FINRA arbitration procedures with precision and strategy. About the Role You will represent registered...
. Required Qualifications: High School diploma is required (the diploma will be requested during background check) FINRA Series 6 license...
Job Description: We are seeking a FINRA-licensed Registered Representative to join our customer service team... in Quality Assurance (QA) reviews, particularly for FINRA-regulated transactions involving products with variable investment...
. Support QA function for general service teams and enhanced QA review required for FINRA registered associates performing... transactions on products with Variable investment feature (FINRA governed) as needed/assigned. Mandatory Qualifications High...
funds and REITS. FINRA 79 or 7 and 63 licenses required within 6 months of hire. #LI-LA1 M&T Bank is committed to fair...