Finra jobs
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| Dec 25 | Financial Advisor - Contract Consulting Roles | Kforce Finance & Accounting Staffing | San Antonio, TX |
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these opportunities. You MUST have current FINRA Series 7 and 63 licensing. You will be tasked with providing individual investors with sound investment advice surrounding... more |
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| Dec 25 | Compliance Examiner | Scottrade | St Louis, MO |
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Apply rules and regulations of firm/FINRA/SEC to various situations. Travel 4-6 weeks per year to branch offices to perform annual audits. Participate in annual Compliance... more |
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| Dec 25 | Director- BCI broker dealer policy manager | Barclays Capital | New York, NY |
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Requisite capital computations for the SEC, FINRA, CFTC, FED and FSA, ? Is the principal interface between Barclays Capital and these supervisors with respect to financial... more |
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| Dec 25 | Compliance Officer | Dimensional Fund Advisors | Austin, TX |
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Act, Investment Company Act, ERISA, and FINRA regulations * Enhance, develop and implement compliance policies and procedures * Draft and maintain written policies and procedures... more |
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| Dec 25 | Internal Wholesaler / Area Sales Representative | Capital Group Companies | San Antonio, TX |
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ty to thrive in a challenging and collaborative sales environment * Experience in the financial or investment management industry preferred * FINRA Series 6 and 63 licenses will... more |
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| Dec 25 | Internal Audit/IT Audit/SOX Opportunities | Peak Organization | New York, NY |
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sed on the retail brokerage industry. Strong knowledge risks and a technical understanding of the regulatory environment with respect to FINRA, SEC and NFA rules are a must. MBA... more |
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| Dec 24 | Financial Advisor Associate - Mesa Grand Branch | JPMorgan Chase | Mesa, AZ |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 24 | Claims Consultant | New York Life | New York |
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variable annuity and waiver of premium FINRA designation or attainment within 6 months of hire Strong product knowledge Ability to explain complex situations clearly Ability to... more |
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| Dec 24 | SVP Team Leader/ Investments / Advisors | Lexington, SC | |
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nal banking lines of business (i.e., Retail, Commercial and Private Bankers). Requirements: 10+ years of successful team and/or group leadership... Clean FINRA background,... more |
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| Dec 24 | Compliance Officer | Global Financial Services Firm | New York, NY |
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law, rules and regulations (including SEC, FINRA, CFTC, NFA) and the firms internal ... with the firms regulators (SEC, FINRA, CFTC, NFA, NYSE), internal and... more |
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| Dec 24 | Director- BCI broker dealer policy manager | Barclays Capital | New York, NY |
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Requisite capital computations for the SEC, FINRA, CFTC, FED and FSA, ? Is the principal interface between Barclays Capital and these supervisors with respect to financial... more |
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| Dec 24 | Foreign Language Compliance Advisor | Fidelity Investments | Smithfield, RI |
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material vs. non-advertising and making FINRA filing determinations as ... to accompany certain complicated FINRA filings. Keep abreast of FINRA comment... more |
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| Dec 24 | Account Relationship Assoc-Sr | Huntington Bancshares | Columbus, OH |
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Experience in investments preferred, with FINRA licenses Series 6 or 7 preferredExcellent organizational, verbal and written communication skills. Must be committed to providing... more |
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| Dec 24 | Senior Designated Principal, Supervision | Lpl Financial Services | Charlotte, NC |
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must be familiar with the SEC, MSRB and FINRA regulatory environment and ... Strong analytical skills * Knowledge of FINRA, SEC, MSRB and State rules and... more |
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| Dec 24 | Compliance Analyst, Supervision | Lpl Financial Services | Charlotte, NC |
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must be familiar with the SEC, MSRB and FINRA regulatory environment and ... Strong analytical skills * Knowledge of FINRA, SEC, MSRB and State rules and... more |
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| Dec 24 | Compliance Analyst, Surveillance | Lpl Financial Services | Charlotte, NC |
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must be familiar with the SEC and FINRA regulatory environment and ... excellent research skills. * Knowledge of FINRA, SEC, and State rules and... more |
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| Dec 24 | Compliance Analyst, Surveillance | Lpl Financial Services | San Diego, CA |
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must be familiar with the SEC and FINRA regulatory environment and ... excellent research skills. * Knowledge of FINRA, SEC, and State rules and... more |
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| Dec 24 | Compliance Manager I | Bank of New York Mellon | New York, NY |
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trade reporting platforms such as FINRA's TRACE and MSRB's EMMA (NIIDS and SHORT). General knowledge of other key rules and regulations are also required (e.g., mark-up/mark-down,... more |
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| Dec 24 | Compliance Director | Manulife Financial | Massachusetts |
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authorities and Monitor changing and new FINRA/SEC and State regulations in order to ... or equivalent experience * J/D Preferred * FINRA Series 7 and 24 * 8+ years experience... more |
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| Dec 24 | Financial Advisor | New York, NY | |
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is preferred and relevant professional FINRA securities designations are a plus. If ... state life and health licenses, FINRA Series 7 and 66 or equivalent. MBA,... more |
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| Dec 24 | Senior Director, Investment Advisory Compliance | Nationwide Insurance | Philadelphia, PA |
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cus on investment advisory business. Juris Doctor, Certified Regulatory Compliance Professional (CRCP), or equivalent designation, and/or FINRA licenses 7 and 24, a plus. Job... more |
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| Dec 24 | Senior Director, Investment Advisory Compliance | Nationwide Insurance | New York, NY |
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cus on investment advisory business. Juris Doctor, Certified Regulatory Compliance Professional (CRCP), or equivalent designation, and/or FINRA licenses 7 and 24, a plus. Job... more |
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| Dec 24 | Investment Financial Consultant | U.S. Bancorp | Benton, KY |
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a portfolio of clients and client assets * FINRA Series 7, 63, and 65 or 66 * Applicable state insurance licenses Our top performers typically: * Have above average... more |
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| Dec 24 | Retirement Services Sales - Majors | Automatic Data Processing | Milwaukee, WI |
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and other pertinent industry data. FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... more |
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| Dec 24 | Sr. Compliance Manager | Compliance Search Group | Atlanta, GA |
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degree and/or equivalent work experience. FINRA Series 7, FINRA Series 24, MSRB Series 51 or Series 53, NASAA Series 66 or Series 63 and Series 65 Willingness to successfully... more |
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