74 sie jobs at 21 companies in Scottsdale, AZ
2mo
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Team Manager, Premier Relationship Management
Gilbert or Sandy or Alpharetta
OnsiteFull Time
2+ YOELead a team delivering relationship management; ensure KPIs; require SIE, Series 7, 63, 9/10 licenses; 2+ years experience; authorized to work in the United States; visa sponsorship not required.
MS Word, Excel, PowerPoint, Salesforce, SIE, Series 7, Series 63, Series 9/10
1w
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Product Analyst I - Investment Advisory
Tempe or St. Louis
HybridFull Time
1+ YOEBachelor's degree required; 1–3 years of financial services, product management, or strategic planning experience preferred. SIE, Series 7 Top-Off, and Series 66 required within 12 months.
SIE, Series 7 Top-Off, Series 66
4w
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Financial Advisor
Carefree, Arizona, United States
$45k-$100k/yr OnsiteFull Time
Requires financial services, sales, registration, licensing, certification, or professional/military progression; bachelor's degree preferred. SIE, Series 7, Series 66, state insurance licenses, and ongoing regulatory training required.
social media, SIE, Series 7, Series 66, FINRA, SEC
3mo
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Senior Associate, Participant Services
Phoenix, Arizona, United States
$42k-$62k/yr HybridFull Time
2+ YOEActive FINRA Series 6 and SIE licenses; strong communication; problem-solving; bilingual a plus; customer service in financial services.
Salesforce, Online account access
2mo
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Senior Manager, Risk Advice
Minneapolis or Chicago or Phoenix or Charlotte
OnsiteFull Time
6+ YOE6+ years in strategic risk/compliance or product management; strong communication; leadership; organized; SIE exam or able to obtain within 180 days.
2w
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Agency Owner
Casa Grande, Arizona, United States
FieldFull Time
Must obtain/hold Property & Casualty, Life & Health, and SIE licenses; entrepreneurial mindset, relationship-building, sales orientation, and business management skills.
RBC Wealth Management
3mo
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Internal Business Associate
Tempe, Arizona, United States
$45k-$75k/yr HybridFull Time
Bachelor’s degree helpful; SIE preferred; Series 7 and Series 66 within 120 days; strong interest in capital markets and sales; relationship management skills.
1mo
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Global Financial Crimes Senior Investigator (Brokerage)
Jersey City or Pennington or Plano or Phoenix or Dallas or Charlotte
$90k-$115k/yr OnsiteFull Time
5+ YOE5+ years financial crimes investigation experience with brokerage/investment knowledge, FINRA SIE or Series 7, AML experience, ACAMS preferred, and Microsoft Excel proficiency.
Microsoft Excel
6d
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Service Team Lead
Tempe or Fort Mill
$28-$46/hr OnsiteFull Time
2+ YOERequires 2+ years of customer service and financial services experience, SIE certification within 90 days, strong communication and organizational skills; bachelor's degree preferred.
Microsoft Office, BETA, ClientWorks, Siebel, Documentum, NAO Tool, MM Tool, Repapering, Block Transfer
1w
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Associate Analyst, Operations - Performance and Data Recon
Tempe or Fort Mill
$21-$35/hr OnsiteFull Time
1+ YOERequires 1+ year of financial services client-facing or operations experience, strong communication, organization, analytical, problem-solving, and prioritization skills. Bachelor's degree and SIE preferred.
Client Works, Dynamics, NICE, Microsoft Excel, Microsoft Word, Microsoft Office
2w
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Registered Client Service Associate (Scottsdale, AZ)
Scottsdale, Arizona, United States
OnsiteFull Time
1+ YOE1+ years securities or related experience preferred; requires SIE and Series registrations (7,63,65/66 as required); proficiency with CRM and Excel; strong communication, multitasking, and industry knowledge.
Client Relationship Management (CRM) software, Excel
2mo
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Financial representative
Phoenix, Arizona, United States
FieldFull Time
Ability to obtain or hold life insurance license, SIE, Series 6 and/or 7, and Series 63; pass background and regulatory checks; integrity, leadership, and relationship-building skills.
3w
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Sales Practice Principal
Chicago or St. Petersburg or Tampa or Tempe
$96k-$162k/yr OnsiteFull Time
3+ YOE3+ years financial services experience with supervisory background; required or willing to obtain FINRA registrations (SIE, Series exams); strong regulatory, compliance, analytical and leadership skills.
1w
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New Grad - 2027 - Advisory Licensing Program
Tempe, Arizona, United States
$22-$37/hr OnsiteFull Time
Bachelor's degree or equivalent; strong communication, writing, organization, risk assessment, customer service, and Microsoft Office skills; ability to pass SIE, Series 7, and Series 66 exams.
Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Outlook, web-based applications, PC
2w
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Executive Services Specialist, Associate
Alpharetta or Tempe or Sandy
OnsiteFull Time
Bachelor's degree, SIE and Series 7 & 63 licenses, strong phone/email customer service experience, Microsoft Office proficiency, analytical and prioritization skills, flexibility for varied weekday shifts.
Shareworks, Microsoft Office
1mo
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Team Leader
Tempe or St. Louis
HybridFull Time
2+ YOE3+ MgmtSeries 7 (SIE and Top Off) required, bachelor’s degree or equivalent experience, 3+ years leadership/management experience in financial services (or equivalent), strong coaching, analytical, and stakeholder skills.
1w
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Advance to Financial Planning Advisor
Dallas or Scottsdale or Charlotte or Malvern
HybridFull Time
Undergraduate degree required; SIE exam before starting; ability to pass Series 7 and 63 exams; leadership, investment, client service, CRM, communication, teamwork, and time-management skills.
Client Relationship Management (CRM)
2w
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Advisor Support Supervisor
Scottsdale or Atlanta
$55k-$58k/yr HybridFull Time
2+ YOE2+ MgmtMinimum 2 years related industry experience; supervisor experience preferred. Requires strong communication, coaching, and advisor-facing support skills; CRM/Salesforce and SIE/Series 7 familiarity a plus.
CRM, Salesforce
1mo
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Global Financial Crimes Senior Investigator (Brokerage)
Charlotte or Jersey City or Pennington or Phoenix or Plano or Dallas
$90k-$115k/yr OnsiteFull Time
5+ YOE5+ years financial crimes investigation experience, knowledge of brokerage products, FINRA SIE or Series 7 (or related experience), AML/financial crimes and AML typologies knowledge, and Microsoft Excel proficiency.
Microsoft Excel
6d
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Private Bank - Global Families Group - Client Service Associate (Mandarin Fluency Required)
Newark or Tempe
$65k-$83k/yr OnsiteFull Time
Requires Mandarin and English fluency, FINRA SIE, Series 7 and Series 63 licenses or ability to obtain them within 90 days, client service skills, and Microsoft Office and Outlook proficiency.
Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Outlook
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