Financial Advisor - FINRA Series 7 Licensed

Financial Advisor - FINRA Series 7 Licensed

6 Months Contract (Possibility of conversion)

1801 Park View Dr, Shoreview, MN

30 days of onsite training

5 days onsite and 5 days remote after training is complete

Required Qualifications:

• 1 years of risk management, business controls, quality assurance, business operations, compliance, or process experience.

• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 1 years of brokerage industry experience

• 1 years' experience with brokerage complaints processes.

• 1 years' experience in Quality Assurance, Operational Risk, or compliance roles

• Strong analytical skills with ability to draw conclusions and translate findings

• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

• Experience developing partnerships and collaborating with other business and functional areas

• Excellent verbal, written, and interpersonal communication skills

Job Expectations:

• This position offers a hybrid work schedule.

• Maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply.

Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.

For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.

Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.

Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

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EEO:

“Mindlance is an Equal Opportunity Employer and does not discriminate in

employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.”