Finra jobs
Subscribe to RSS Feed| Posted | Job Title | Company | Location |
|---|---|---|---|
|
More Job Postings from the Web
|
|||
| Dec 15 | Compliance Examiner | Boca Raton, FL | |
|
FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The Financial ... registered securities representatives. FINRA has approximately 3,000 employees and... more |
|||
| Dec 15 | Senior Compliance Analyst | Questpro Consultants | Washington, Dc |
|
such as state insurance regulators, SEC, FINRA, and other external stakeholders such as auditors, and industry associations is highly desired. Strong project management experience... more |
|||
| Dec 15 | Operations Compliance Associate | Morgan Stanley | New York, NY |
|
Candidate will be expected to advise on FINRA, NYSE, NASD and SEC rules, ... regulatory compliance including FINRA, NYSE, NASD and SEC regulations... more |
|||
| Dec 15 | Individual Consultant, Inbound | Tiaa-cref | Charlotte, NC |
|
designations preferred. * Active FINRA Series 6 (or 7) and 63 registrations required. * State life insurance license preferred or must be obtained by the end of three month... more |
|||
| Dec 14 | Senior Compliance Officer - b12213 | Global Financial Dervices Firm | New York, NY |
|
strong, current knowledge of SEC and FINRA rules/regulations and best practices; ... in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to... more |
|||
| Dec 14 | Director of Equity Capital Markets Compliance | American Financial Institution | New York, NY |
|
to regulators the firms compliance with FINRA and SEC regulations. Create and foster ... Experience with and expert knowledge of FINRA, NYSE and SEC rules associated with... more |
|||
| Dec 14 | Sr. Financial Advisors Latin America - 10209 | Financial Services Firm | Houston, TX |
|
None Certifications: None Licenses: FINRA Registered Rep - Series 7 - Stock Broker We are committed to being more than just an online job search site we want to be your career... more |
|||
| Dec 14 | Sr. Financial Advisors Latin America - 10207 | Financial Services Firm | Miami Beach, FL |
|
None Certifications: None Licenses: FINRA Registered Rep - Series 7 - Stock Broker We are committed to being more than just an online job search site we want to be your career... more |
|||
| Dec 14 | Financial Consultant | Charles Schwab | Bend, OR |
|
- Undergraduate degree or higher - Active FINRA Series 7 and 63 required (66 ... FINRA Series 66, FINRA Series 7, FINRA Series 63 Relevant Work Experience... more |
|||
| Dec 14 | Manager, Client Service & Support - Retirement Operations | Charles Schwab | Phoenix, AZ |
|
FINRA Series 10, FINRA Series 7, FINRA Series 9, FINRA Series 63, FINRA Series 8 Relevant Work Experience Brokerage Operations-6+ yrs Position Located In AZ - Phoenix Education... more |
|||
| Dec 14 | Senior Compliance Officer - b12213 | Global Financial Dervices Firm | New York, NY |
|
strong, current knowledge of SEC and FINRA rules/regulations and best practices; ... in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to... more |
|||
| Dec 14 | Financial Advisor - 9970 | Boutique Advisory Firm | Phoenix, AZ |
|
ations: None Licenses: NASAA State Registration / Investment Advisor - Series 63; NASAA State Registration / Investment Advisor - Series 65; FINRA Registered Rep - Series 7 -... more |
|||
| Dec 14 | Sr. Specialist, Managed Account Operations | Charles Schwab | Orlando, FL |
|
FINRA Series 10, FINRA Series 7, FINRA Series 9, FINRA Series 63 Relevant Work Experience Brokerage Operations-2-5 yrs Position Located In FL - Orlando Education BA/BS Job Type... more |
|||
| Dec 14 | Managed Account Operations - Senior Manager | Charles Schwab | Orlando, FL |
|
FINRA Series 10, FINRA Series 7, FINRA Series 9, FINRA Series 63 Relevant Work Experience Brokerage Operations-2-5 yrs, Brokerage Operations-less than 2yrs Position Located In FL... more |
|||
| Dec 14 | Senior Compliance Analyst | Questpro | Washington, Dc |
|
such as state insurance regulators, SEC, FINRA, and other external stakeholders such as auditors, and industry associations is highly desired. Strong project management experience... more |
|||
| Dec 14 | Sr. Financial Advisors Latin America - 10207 | Financial Services Firm | Miami Beach, FL |
|
Certifications: None Licenses: FINRA Registered Rep - Series 7 - Stock Broker We are committed to being more than just an online job search site – we want to be your... more |
|||
| Dec 14 | Sr. Financial Advisors Latin America - 10209 | Financial Services Firm | Houston, TX |
|
Certifications: None Licenses: FINRA Registered Rep - Series 7 - Stock Broker We are committed to being more than just an online job search site – we want to be your career... more |
|||
| Dec 14 | Financial Advisor Associate | J.P. Morgan Chase - Consumer Investments, Retail Financial Services | Sidney, OH |
|
requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
|||
| Dec 14 | AML Prevention Analyst | New York, NY | |
|
including BSA, USA PATRIOT Act, OFAC, SEC, FINRA and other applicable U.S. regulations. ... with AML, BSA and USA PATRIOT Act, SEC FINRA policies and procedures. * Maintains... more |
|||
| Dec 14 | Financial Advisors | Execudyn | Houston, TX |
|
owned and operated Broker/Dealer (member FINRA) : SEC Registered Investment Advisor : Potential for partnership- a firm with a successful eight-year track record and a documented... more |
|||
| Dec 14 | Financial Advisor | New York, NY | |
|
is preferred and relevant professional FINRA securities designations are a plus. If ... of us: state life and health licenses, FINRA Series 7 and 66 or equivalent. MBA,... more |
|||
| Dec 14 | Financial Advisor/Entrepreneur | First Command Financial Services | Wichita, KS |
|
Ability to pass exams for federal and state licenses and registrations for securities and insurance, including Series 6, Series 63 and Series 65 FINRA exams, and state... more |
|||
| Dec 14 | Financial Advisor/Entrepreneur | First Command Financial Services | Pensacola, FL |
|
Ability to pass exams for federal and state licenses and registrations for securities and insurance, including Series 6, Series 63 and Series 65 FINRA exams, and state... more |
|||
| Dec 14 | Brokerage Operations Supervisor II | Apex Systems | Melville, NY |
|
in a high-pressure environment Current FINRA Series 7/24 and 65 or 66 License Apex Systems, Inc. is an Equal Opportunity Employer and encourages minority and female applicants to... more |
|||
| Dec 14 | Managing Principal - 10499 | Financial Services Firm | New York, NY |
|
Bachelors Certifications: None Licenses: FINRA Registered Rep - Series 7 - Stock Broker; FINRA Registered Principal - Series 24; NASAA State Registration / Investment Advisor -... more |
|||
Finra Jobs powered by SimplyHired
