Licensed

Licensed Finance Jobs

5 jobs found

4mo ago

Licensed Premier Relationship Banker (Series 7/66, Life/Health)

Rhinebeck Bank Poughkeepsie, NY

Poughkeepsie, NY

4mo ago Closed

$65k - $85k/yr Full time 66 Advisor Banker

This position is no longer accepting applications (closed May 6, 2026).

Job Description

This on-site, branch-based role in Poughkeepsie focuses on growing deposits, expanding consumer lending, and identifying investment opportunities while delivering high quality customer experiences. The position requires a bachelor’s degree in Finance, Economics, Business, or a related field, along with FINRA licenses and a NYS Life/Health Insurance license. The compensation range for this role is between $65,000 and $85,000 annually, depending on experience.

Responsibilities

Proactively engage with customers to uncover banking, lending, and investment opportunities aligned with their financial goals.
Oversee the end-to-end origination of consumer loans, including home equity loans, while ensuring all regulatory requirements are met.
Direct clients to Financial Advisors or Mortgage Loan Partners as appropriate to achieve optimal outcomes.
Provide coaching and mentorship to junior Universal Bankers to support their development.
Travel between branches as needed to serve customers and support the growth of the branch network.

Requirements

Licensing: FINRA Series 7 and 66, plus NYS Life/Health Insurance License.
Proven sales success in outbound outreach and relationship management.
Strong verbal and written communication skills with a focus on delivering exceptional service.
Organizational and coaching abilities to prioritize tasks and mentor junior staff.
Education: Bachelor’s degree in Finance, Economics, Business, or related field preferred.
Valid driver’s license and the ability to travel between branches as needed.

Benefits

Competitive compensation: $65,000 to $85,000 based on experience.
Health, dental, and vision coverage to support your well-being.
Tuition reimbursement to assist with continuing education and career growth.
20 days of paid time off to recharge.
Generous 401(k) match to help plan for the future.
Structured training and development during onboarding, including classroom, webinar, and hands-on learning.
Ongoing mentorship from experienced professionals to foster growth in the role.
Paid volunteer hours to support community involvement and social impact.

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4mo ago

Licensed Financial Advisor - Client Service Advisor

Retirement Income Solutions LLC Murfreesboro, TN

Murfreesboro, TN

4mo ago Closed

$60k+/yr Full time Advisor Client Client Relations

This position is no longer accepting applications (closed May 5, 2026).

Job Description

Retirement Income Solutions LLC is seeking a Licensed Financial Advisor - Client Service Advisor to support clients from our on-site office in Murfreesboro, Tennessee. The role emphasizes comprehensive financial planning and attentive client service, covering investments, retirement planning, tax planning, and estate planning while fostering strong client relationships. A minimum of five years of experience, along with the required licenses, is essential for this position.

Responsibilities

Provide personalized financial planning services to clients, including investment strategies, retirement planning, tax planning, and estate planning
Conduct thorough financial assessments to understand clients' current financial situations and future goals
Develop customized financial plans based on clients' needs and risk tolerance
Monitor clients' investment portfolios and make recommendations for adjustments as needed
Stay up-to-date with market trends, economic developments, and changes in tax laws to provide accurate and relevant advice
Build and maintain strong relationships with clients through regular communication and meetings
Collaborate with other professionals, such as accountants and attorneys, to ensure comprehensive financial solutions for clients
Educate clients on various financial products and services available to them
Provide exceptional customer service by addressing client inquiries and concerns in a timely manner

Requirements

Bachelor's degree in finance, business, or a related field - preferred
Proven experience working in the financial services industry as a Financial Advisor or similar role
Strong knowledge of asset management, tax planning, cash management, and financial planning principles
Excellent mathematical skills with the ability to analyze complex financial data
Exceptional customer relationship management skills with the ability to build trust and rapport with clients
Strong sales abilities with a track record of meeting or exceeding targets
Knowledge of wills, trusts, estate law is preferred but not required
Excellent communication skills, both verbal and written
Ability to work independently and as part of a team

Experience & Licenses

Financial concepts: 5 years (Required)
Client services: 5 years (Required)

Licenses & Certifications

Series 65 (Required)
Life Insurance License (Required)

Compensation & Benefits

Salary: USD 60,000 per year
Bonus opportunities
Commission pay

Benefits

Paid time off
Paid training

Job Type

Full-time

Location & Relocation

Location: Murfreesboro, TN 37129 (onsite)
Relocation: Relocate to Murfreesboro, TN 37129 before starting work (Required)
Ability to commute: Murfreesboro, TN 37129 (Required)
Work location: In person

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5mo ago

Licensed Client Service Specialist/Paraplanner

Small Wealth Management Tulsa, OK

Tulsa, OK

5mo ago Closed

$65k - $75k/yr Full time Advisor Client Client Relations

This position is no longer accepting applications (closed Apr 27, 2026).

Job Description

Small Wealth Management, a Tulsa-based firm focused on helping clients understand and pursue financial independence with clarity, is seeking a Licensed Client Service Specialist/Paraplanner. This full-time, on-site role supports financial advisors with planning, client service, and daily operations, requiring a bachelor’s degree and appropriate securities licenses. The position offers a competitive salary in the range of $65,000 to $75,000 per year and is based on-site in Tulsa, OK.

Responsibilities

Foster and maintain professional relationships with clients.
Handle account inquiries and escalate as needed.
Serve as the primary point of contact for advisor and client communications.
Prepare financial plans and conduct investment research.
Complete trades and transactions accurately.
Prepare agendas, reports, forms, and documentation for client meetings.
Maintain Salesforce notes and client follow-up tasks.
Prepare and submit new business paperwork.
Coordinate transfers, rollovers, wires, and deposits.
Maintain documentation within CRM and workflow systems.
Process expense reports and prepare client correspondence.
Scan, organize, and maintain digital files.
Support advisors with office tasks and projects.

Requirements

Bachelor's degree (required).
Series 7 and 66 licenses required, or Series 63/65 as an alternative.

Technologies

Salesforce
Microsoft Office Suite

Benefits

401(k)
401(k) matching
Dental insurance
Health insurance
Life insurance
Paid time off
Parental leave
Professional development assistance
Vision insurance

Who Succeeds In This Role

Dependable, proactive, and service-minded
Detail-oriented with strong accuracy
Excellent communicator and team collaborator
Organized and able to handle multiple tasks
Motivated by helping clients gain clarity and confidence

About Small Wealth Management

Since 1999, Small Wealth Management has been dedicated to empowering clients to understand, achieve, and maintain financial independence with confidence and clarity. Our legacy is helping build yours.

Job Type

Full-time

Pay

$65,000 - $75,000 per year

Education

Bachelor's degree (Required)

License/Certification

Series 7 (Required)
Series 66 (Required)
Alternative: Series 63/65 (as applicable)

Work Location

In person

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5mo ago

Licensed Financial Services Specialist

Associate Staffing Charlotte, NC Hybrid

Charlotte, NC

5mo ago Closed

$68k - $73k/yr Full time Client Relations Client Service Financial Advisor

This position is no longer accepting applications (closed Apr 26, 2026).

Job Description

Associate Staffing invites applications for a Licensed Financial Services Specialist. This hybrid role in Charlotte, NC centers on educating and assisting retirement and investment clients, identifying needs, facilitating transactions, and presenting product solutions.

Benefits

Hybrid remote work arrangement in Charlotte, NC
Salary: USD 68,000 – 73,000 per year

The position offers the opportunity to focus on education and client support within retirement and investment planning, aligning needs with suitable product solutions and fostering durable client relationships.

Responsibilities

Provide guidance at benefit events and to former participants or those nearing a benefit event, with emphasis on asset retention and introducing additional product solutions
Educate and assist current and prospective clients who are exploring individual investment and risk-based needs; facilitate requested transactions or refer to another team when appropriate
Help uncover current or potential needs of retail customers
Perform other job-related duties and projects as needed

Requirements

Active Series 7 and 66 or 63/65 licenses
Bachelor’s degree or equivalent plus 2+ years of experience, preferably in the financial services industry
Excellent verbal and written communication skills with the ability to establish trust and rapport with customers over the phone
Proficiency with desktop computer technology and digital communication tools
Detailed knowledge and expertise involving retail investment products as well as employer sponsored retirement plans

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6mo ago

Licensed Financial Services Representative

Charles Schwab Phoenix, AZ Hybrid

Phoenix, AZ

6mo ago Closed

$59k - $68k/yr Full time Contact Center Customer Service F&I

This position is no longer accepting applications (closed Apr 18, 2026).

Job Description

Your opportunity

At Schwab, you have the potential to influence your career trajectory. Here, forward-thinking ideas meet practical problem solving as we challenge the status quo and drive transformation in the finance industry. Schwab’s service team lies at the center of our commitment to helping clients secure their financial futures. In this role, you’ll deliver financial guidance to clients while building lasting relationships based on trust, respect, and shared goals. You’ll engage with clients, advocate on their behalf when answering inbound calls, take ownership of complex issues, and work toward the best possible solution. You’ll also have the chance to shape your professional journey within a supportive, nurturing culture that offers a range of career opportunities. If you already hold securities licenses, enjoy teamwork, and share our passion for serving clients, this role is for you.

Location: Hybrid remote in Phoenix, AZ 85016.

What you have

Successful candidates bring a growth mindset, a willingness to learn, and a genuine passion for serving others. We strive to make a difference in people’s lives through innovative solutions and world‑class service.

Active FINRA Series 7 & 63 licenses
Ability to work 8:00am – 4:30pm Monday through Friday during Schwab's training program, on-site
After training is complete, the ability to work the assigned shift to accommodate business needs, including evening, overnight, and weekend options
Flexibility to work any day, time, or shift to support 24/7 contact center needs

Compensation and shifts

Starting compensation for this location ranges from $59,000 to $67,500, depending on related experience, plus an annual bonus opportunity equal to 10% of base pay and other eligible earnings. Evening, overnight, and weekend shifts include up to 20% additional compensation, depending on the shift.

Your Talent Advisor will walk you through the training schedule, available shift groups, and the shift assignment process during the interview.

Example shift groups:

Weekend Day Shift (Start between 5:30am–8:30am MST, includes 1–2 weekend days): Potential to work remote after training if both weekend days are assigned
Weekday Evening Shift (Start 10am–4pm MST, Monday–Friday): In office
Weekday Overnight Shift (Start 6:30pm MST, Monday–Thursday): Potential to work fully remote after training

Preferred Qualifications

1+ years of customer service experience
1+ years of client relationship experience
Bachelor’s degree or higher in Finance, Economics, or related field from an accredited university
Ability to adapt to changes in the market and business
Robust communication, influencing, and client engagement skills
Desire to be part of a supportive and collaborative team
Proficient in Client Relationship Management (CRM) platforms
Strong candidates will also have previous experience in a Financial Representative role

What’s in it for you

At Schwab, you’re empowered to shape your future. We support your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build skills that make a lasting impact. Our Hybrid Work and Flexibility approach balances our commitment to workplace flexibility, serving clients, and the value of being together in person on a regular basis.

401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and a 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family-building benefits
Tuition reimbursement
Health, dental, and vision insurance

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Licensed Finance Jobs

Licensed Premier Relationship Banker (Series 7/66, Life/Health)

Licensed Financial Advisor - Client Service Advisor

Licensed Client Service Specialist/Paraplanner

Licensed Financial Services Specialist

Licensed Financial Services Representative

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