Finra series 63

Finra series 63 Finance Jobs

96 jobs found

Prime Financial Services - Transition Management - Associate

JPMorganChase New York, NY

1mo ago

$135k - $150k/yr Full time Associate Business Analytics Clearing

Associate Business Analytics Clearing

Apply Now

Job Description

Job Summary

Transition Management oversees the legal and operational setup, end-to-end coordination, and integration of all new clients onto the Prime Financial Services (PFS) platform. The objective is a smooth, timely onboarding across multiple asset classes, spanning products such as Equity and Fixed Income Prime Brokerage, Foreign Exchange Prime Brokerage, Futures and Derivatives Clearing, Equity Derivatives, and Repo Financing.

What You'll Do

Establish and maintain relationships with primary client contacts (e.g., COOs and CFOs), ensuring requirements are delivered with urgency.
Lead onboarding deal teams to present an integrated and seamless experience to clients during the onboarding process.
Manage a diverse client base, including Hedge Funds, Alternatives, Banks, Asset Managers, and Pension Funds.
Translate client strategy and structure, along with margin and financing needs, into relevant J.P. Morgan products and legal entities.
Develop and maintain a strong understanding of the PFS product suite, advising clients from pre-go-live through post-go-live.
Understand commercial and risk asks of clients from a new-launch perspective, engaging clients across all products and legal agreements.
Direct the delivery of client onboarding through go-live, building strong relationships with internal partner teams.
Serve as the initial escalation point internally and for clients, demonstrating self-solve abilities and challenging the status quo.
Become a point of contact for data aggregation and reporting to stakeholders, creating processes for tailored communication and establishing templates for handovers and commentary.

Required Qualifications, Capabilities & Skills

3+ years in a client-facing role within the financial services industry.
Understanding of the alternatives and institutional client landscape, with insight into the financing and clearing products used in their strategies.
Ability to build meaningful relationships with clients and internal partner groups.
Solutions-oriented with strong project management and organizational skills; ability to prioritize, multi-task, and deliver within tight and changeable timeframes.
Confident, driven, proactive self-starter able to work independently and escalate issues when required.
Inquisitive and investigative, eager to embrace new challenges and learning opportunities.
Experience with business analytics tools to initiate process improvements and create templates for client materials is advantageous.
Bachelor’s degree or equivalent.
FINRA Series 7 and 63 registered or able to be obtained shortly after hire.

Preferred Qualifications, Capabilities & Skills

Experience with business analytics tools for process improvements and client materials.
Advanced degree or relevant certifications.
Familiarity with multi-asset class onboarding processes.
Strong communication and presentation skills.

About Us

JPMorganChase is a long-standing financial institution delivering innovative solutions to millions of consumers, small businesses, and many of the world’s leading corporate, institutional, and government clients under the J.P. Morgan and Chase brands. With a history spanning over two centuries, we are a leader across investment banking, consumer and small business banking, commercial banking, financial transaction processing, and asset management.

Compensation and Benefits

We offer a competitive total rewards package, with base salary determined by the role, experience, skill set, and location. Eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. A range of benefits and programs is available based on eligibility, including comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, and mental health support.

Location

270 Park Avenue, New York, NY 10017

View full job page →

Financial Advisor: Uncapped Growth & Mentorship (Career Changers Welcome)

Northwestern Mutual Grand Rapids, MI

1mo ago

$80k - $150k/yr Full time Advisor Business Development Business Ownership

Advisor Business Development Business Ownership

Apply Now

Job Description

Based in Grand Rapids, Michigan, Northwestern Mutual invites you to transition your career while making a meaningful impact. The program combines comprehensive training and mentorship across sales, finance, leadership, and entrepreneurship.

Are you ready to take control of your path to success as a business owner? Embrace your entrepreneurial spirit and leave a lasting imprint on your community. If you’ve felt undervalued, hit a ceiling, or feel limited in your current role, this is your opportunity to join a dynamic team and chart your own course.

Our firm is committed to empowering individuals to drive meaningful change and build a sustainable career as an entrepreneur. If you’re passionate about sales, management, leadership, and business ownership with a desire to leave a lasting legacy, submit your resume for consideration.

This opportunity is entirely commission-based with uncapped earnings. No previous finance experience is required.

Ready to be your own boss? Turn your passion into a paycheck!

What you'll do

Offer services to protect the lives of your clients and their loved ones
Grow your network and cultivate long-lasting relationships
Provide ongoing support by generating financial security for individuals, families, and businesses
A career path that could transform everything. Here’s how…

How we prepare you

Receive personalized coaching from an experienced development director and a successful advisor
Pair with a mentor to map out your business plan and support you at every step
Equip you with tools to assist your clients and fulfill your promise to do what’s right while building a better future
Develop a plan to scale your business for ongoing growth and success
If you’ve contemplated starting a business, this could be the opportunity you’re seeking

What you gain

A flexible environment tailored to you and your clients’ needs
Nationally awarded training and integrated mentorship programs
Be the creative director of your professional brand
An unparalleled network of people and opportunities
Financial freedom may be closer than you think

Benefits

Medical, dental, and vision insurance, pension, and group life
Support for required licensing (Life, Accident & Health, SIE, Series 7, Series 63)
Financial support for ongoing education and development (e.g., CFP, RICP, CLU, ChFC)
Compensation through commissions, residual income, incentive programs, training allowances, and bonuses
Local and national recognition

Prior financial experience is not required. We are prepared to teach you everything needed to become the most successful Financial Representative you can be. If you possess an entrepreneurial spirit with relentless grit, this opportunity offers an extraordinary return.

Mutual selection process. Because of the role’s complexity, we take time to thoroughly explain the ins and outs of the career to ensure it’s the right fit. This includes a multi-step process that may involve three to four conversations plus personality and work-preference questionnaires.

View full job page →

Financial Advisor: Uncapped Growth & Mentorship (Career Changers Welcome)

Northwestern Mutual Holland, MI

1mo ago

$80k - $150k/yr Full time Advisor Business Development CFP

Advisor Business Development CFP

Apply Now

Job Description

What you'll do

Offer services designed to protect the lives of clients and their loved ones
Expand your network and cultivate enduring relationships
Provide ongoing support by creating financial security for individuals, families, and businesses
Embark on a career path that has the potential to transform your future

How we prepare you

Get personalized coaching from an experienced development director and a high-performing advisor
Partner with a mentor to map out your business plan and receive guidance at every stage
Access tools to serve clients effectively while upholding your commitment to doing what’s right
Develop a scalable plan to sustain long-term growth and success

What you gain

A flexible environment tailored to you and your clients' needs
Nationally recognized training paired with integrated mentorship programs
Opportunity to lead your professional brand as the creative director
An extensive network of people and opportunities
Financial freedom closer than you think

Compensation, benefits and qualifications

Compensation: commissions with uncapped earnings, residual income, incentive programs, a training allowance, and bonuses
Benefits: medical, dental, and vision insurance, pension, and group life insurance
Licensing support: Life, Accident & Health, SIE, Series 7, Series 63
Education support: financial backing for continued education and credentials (e.g., CFP, RICP, CLU, ChFC)
Recognition: local and national acknowledgment for performance
Note: Prior financial experience is not required; we provide comprehensive training to help you become a successful Financial Representative
Selection process: mutual and thorough, designed to ensure a good fit with multiple conversations and assessments

Role details

Job Type: Full-time
Pay: $80,000.00 - $150,000.00 per year
Location: Holland, MI
Work Location: In person
Education: Bachelor's (Preferred)
Ability to Commute: Holland, MI (Preferred)
Application Question(s): Do you now or in the future require visa sponsorship to continue working in the United States?

Additional details

Ready to be your own boss? This is an entirely commission-based opportunity with uncapped earnings and no prior finance experience required. If you’re entrepreneurial with grit and drive, this role offers the potential for a substantial return. The process is multi-step to ensure the right fit, including several conversations and assessments to discuss the career's ins and outs.

View full job page →

Financial Representative

LPL Financial Rockville, MD

1mo ago

$68k - $113k/yr Full time Bachelor's Degree Call Center Customer Service

Bachelor's Degree Call Center Customer Service

Apply Now

Job Description

Overview

Imagine building a career where ambition meets innovation. At LPL Financial, professionals are empowered to shape their success while guiding clients toward their financial goals with confidence. You’ll have access to advanced resources within a collaborative environment and the freedom to make a meaningful impact. This role is based in Rockville, Maryland, and sits within Wealth Advisors Group (Wealth AG), a team of corporate employee advisors delivering investment solutions to mass affluent investors virtually and by phone. The advisor will assess clients’ immediate and long-term investment needs, design solutions aligned with individual goals, and help grow our book of 120,000 clients. This is a team-based call center setting that provides investment advice and guidance over the phone. The ideal candidate is driven, client-centric, and capable of delivering high-touch, professional service.

Responsibilities

Provide financial guidance and conduct client reviews over the phone through inbound and outbound calls
Process client transactions and handle general service requests
Prepare client reports and proposals as required
Support other departments and independent financial advisors in understanding the program
Engage in customer service training and other training to stay current with policies and procedures
Offer regular feedback to management to improve advisor experience and operational efficiency
Communicate operational and financial industry policies and procedures
Identify new sales and asset retention opportunities
Consistently apply sound business judgment
Research and resolve advisor and client issues

What we're looking for

We seek strong collaborators who deliver outstanding client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue excellence with integrity and are motivated to help clients succeed. We value creativity, continuous improvement, and contributing to a culture where we win together and find joy in our work.

Requirements

Bachelor's Degree or equivalent work experience
Series 7 license
Series 63 and 65, or 66 license (or the ability to obtain within 90 days of hire)
2+ years of direct client experience within the financial services industry (preferred)

Preferences

Life and Health licenses preferred
Excellent telephone service and relationship management skills
Proficient in Microsoft Office and web-based applications
Ability to assist customers in a call center environment while accessing data via multiple PC lookup applications; strong PC and data entry skills
Prior financial trading experience
Ideal candidate will have prior tele-sales experience
Excellent communication skills and a strong service ethic
Previous experience as a financial advisor
Prior LPL trading, financial-related service call center experience, or other service-related experience

Pay Range

$67,500.00-$112,500.00/year. The pay range includes base salary and potential sales incentive compensation based on the applicable incentive compensation plan for this position. Base salary is determined by factors including relevant skill, prior experience, education, internal peers’ base salaries, demonstrated performance, and geographic location. Incentive compensation depends on achieving goals outlined in the incentive plan. Additionally, the LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play—featuring 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter can discuss all that LPL has to offer.

View full job page →

OCIO Relationship Manager

U.S. Bank National Association Minneapolis, MN

1mo ago

$105k - $124k/yr Full time Manager Analytical Skills Asset Management

Manager Analytical Skills Asset Management

Apply Now

Job Description

U.S. Bank is seeking a seasoned OCIO Relationship Manager to support client management and business development for the discretionary Outsourced Chief Investment Officer (OCIO) advisory practice within U.S. Bancorp Asset Management (USBAM). This position is responsible for overseeing institutional client relationships and driving the continued expansion of USBAM’s OCIO offerings. Location: Minneapolis, MN 55402.

Role overview

The OCIO Relationship Manager will manage relationships with institutional OCIO clients, delivering high-quality service and ongoing support for discretionary investment advisory solutions. The role also contributes to growing USBAM’s OCIO business by promoting its investment management services to potential clients.

Key responsibilities

Maintain and nurture relationships with institutional OCIO clients, ensuring outstanding service and ongoing support for discretionary investment advisory solutions.
Assist with business development initiatives by promoting USBAM’s OCIO investment management offerings to prospective clients.
Prioritize client engagement across Public, Taft-Hartley (Labor Union), Non-Profit, and Corporate segments.
Lead investment and review meetings with institutional clients via phone, virtual platforms, or in person as appropriate.
Educate clients and prospects on current market conditions, investment strategies, and opportunities.
Support growth of the USBAM OCIO business by identifying sales leads, participating in prospect meetings, attending regional and national industry conferences, and aiding proposal development and finalist presentations.
Collaborate with and support colleagues in sales, marketing, and client service activities, as needed.

Basic qualifications

Typically a bachelor’s degree or equivalent experience.
Experience in portfolio management, sales, marketing, or relationship management with institutional clients (Business-to-Business environment).
Must be FINRA Series 6 or 7, and 63 licensed, or complete 6 or 7, 63 testing within 90 days of the start date.
Typically 10+ years of related experience.

Preferred skills and experience

Capital markets knowledge and experience.
In-depth understanding of the company’s products and services.
Strong relationship management and business development/sales capabilities.
Well-developed analytical and problem-solving skills.
Ability to work effectively with individuals and groups in managing client relationships.
Excellent presentation, verbal, and written communication skills.

Work arrangement

The position offers a hybrid/flexible schedule, with an in-office expectation of three or more days per week and the flexibility to work outside the office location on the remaining days.

Accommodations during application/hiring

If you require any disability accommodations during the application or hiring process, please refer to the disability accommodations for applicants.

Benefits

U.S. Bank emphasizes rewards that support employees’ overall well-being, including health, financial security, and work-life balance. The benefits package comprises:

Healthcare coverage (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) plan with employer contributions
Paid vacation (ranging from two to five weeks depending on salary grade and tenure)
Up to 11 paid holidays
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 hours worked, up to 80 hours per calendar year unless otherwise provided by law

Review our full

View full job page →

Private Client Relationship Manager

Citizens Waltham, MA

1mo ago

$81k - $95k/yr Full time Manager CFP Deposits

Manager CFP Deposits

Apply Now

Job Description

At Citizens Private Client, our goal is to empower clients, colleagues, and communities to reach their potential. We uphold a client-centric culture, a drive for continuous improvement, and ongoing capability enhancement. Citizens Private Client delivers personalized, world-class financial planning and guidance to help clients achieve their financial goals, supported by a culture of continuous coaching, professional development, and practice-management support.

As a Private Client Relationship Manager (PCRM), you will work directly with affluent and high-net-worth clients to surpass expectations by focusing on long-term outcomes, acting with integrity, and collaborating with colleagues. PCRMs partner with Wealth Financial Advisors and Certified Financial Planners® (CFPs) to form the Citizens Private Client team.

Primary responsibilities

Acquire and onboard new affluent and high-net-worth clients into a Book of Business through outbound outreach and in-branch or partner introductions.
Increase net deposits, investments, and lending balances by conducting thorough discovery and financial-planning conversations, understanding each client’s goals, and presenting personalized strategies aligned with those objectives.
Deepen and retain client relationships through proactive outbound engagements driven by life events, financial triggers, and other insights.
Deliver exceptional, high-touch client experiences.
Collaborate with Wealth Advisors and Certified Financial Planners to help clients reach their goals.
Partner with colleagues across Retail, Business Banking, Mortgage, and Wealth to provide clients with a seamless Citizens experience.
Utilize Salesforce CRM to track activities and progress.

Measures of success

Growth in net new investment assets in collaboration with Wealth Partners.
Growth in new deposits, including checking, savings, and CDs.
Growth in lending units and balances through mortgages, home equity lines, and securities-based lending.
Positive client satisfaction survey results.

Qualifications, Education, Certifications and/or Other Professional Credentials

Bachelor’s degree (preferred).
3–5 years of banking, wealth management, or other relevant equivalent experience.
Experience working with affluent and high-net-worth clients.
Required Licenses: SIE, Series 6 (or 7) and Series 63 (or 66) licenses are required at the time of hire. Life, Health, and Accident Insurance licenses can be obtained within a specified timeline after hire.
Proven success in a client-centric, initiative-taking sales environment.
Experience establishing and maintaining relationships with clients and internal partners.
Knowledge of industry regulatory requirements to maintain a sound control environment.
Excellent written and verbal communication skills.

Hours & Work Schedule

Hours per Week: 40
Work Schedule: Monday–Friday; potential Saturday hours

Pay Transparency

The salary range for this role is $81,000 – $95,000 per year, with the opportunity to earn additional incentive compensation. Actual pay depends on factors including location, relevant skills, and experience.

Citizens offers competitive compensation along with comprehensive medical, dental, and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs, and more. Note that Citizens’ paid time off policy exceeds mandatory paid sick or paid time-away requirements across jurisdictions in the United States. For a benefits overview, visit https://jobs.citizensbank.com/benefits.

View full job page →

Personal Financial Planner

Falcon PG Escondido, CA

1mo ago

$132k+/yr Full time Analytics Bachelor's Degree Business Administration

Analytics Bachelor's Degree Business Administration

Apply Now

Job Description

Location

Escondido, CA

Compensation

Compensation: $132,000 in at-plan earnings.

Responsibilities

Identify and cultivate new client relationships, acting as a trusted financial advisor to prospective clients.
Help clients progress toward their financial goals through targeted product selections, planning, and investment recommendations.
Develop tailored financial plans by considering clients’ life stage, professional circumstances, and evolving financial needs.
Assess cash flow, income, financial status, goals, assets, and other wealth-related factors to assist clients in defining and achieving their objectives.
Be coachable and organized, embracing ongoing training and development opportunities to enhance professional capabilities.
Proactively expand market presence, build client trust, and position yourself as the preferred financial advisor for new clients.
Conduct in-depth evaluations of clients’ financial situations (including cash flow, wealth targets, and retirement planning) and tailor wealth-management solutions accordingly.

Qualifications

Current FINRA Series 7 and 63/66 credentials are a plus.
Strong communication and math skills with a demonstrated history of building robust client relationships.
Proficiency in Microsoft Office, CRM systems, financial planning software, Google Suite, and related tools is highly preferred.
Foundational knowledge of financial concepts, products, and the role of a financial advisor is desirable.
Bachelor’s degree in business administration, finance, or a related field.

About the Company

At Falcon PG, we champion ventureship—driving positive change in communities and helping families establish lasting financial security. We empower individuals to thrive through life’s uncertainties, offering innovative financial products that enable confident tomorrow planning while navigating today’s challenges. Our dynamic, business‑driven platform provides world‑class training, cutting‑edge resources, and unmatched support to grow and scale your practice. You’ll have the freedom to shape your career, cultivate authentic client relationships, and deliver personalized financial solutions that make a real difference. We’re seeking motivated professionals with an entrepreneurial mindset who are ready to create their own success. If you’re a driven self‑starter with a passion for making an impact, we’d love to connect. Let’s build something exceptional—together.