Finra jobs
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| Dec 26 | Associate Financial Consultant-Wall Street | Charles Schwab | New York, NY |
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FINRA Series 66, FINRA Series 7, FINRA Series 63 Relevant Work Experience Business Development and Sales-2-5 yrs Position Located In NY - New York Education BA/BS Job Type Full... more |
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| Dec 26 | Regional Bond Specialist | Charles Schwab | Denver, CO |
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FINRA Series 66, FINRA Series 7, FINRA Series 63 Relevant Work Experience Business Development and Sales-2-5 yrs Position Located In CO - Denver, CO - Englewood Education BA/BS... more |
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| Dec 26 | Portfolio Consultant | Charles Schwab | Englewood, CO |
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degree or higher required - Active FINRA Series 7 and 63 highly preferred - ... FINRA Series 66, FINRA Series 7, FINRA Series 63 Relevant Work Experience... more |
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| Dec 26 | Inside Sales Specialist | Charles Schwab | Phoenix, AZ |
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Licenses / Certifications FINRA Series 7, FINRA Series 63 Relevant Work Experience Business Development and Sales-2-5 yrs Position Located In AZ - Phoenix Education BA/BS Job Type... more |
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| Dec 26 | Client Service Specialist-Upper East Side | Charles Schwab | New York, NY |
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Licenses / Certifications FINRA Series 7, FINRA Series 63 Relevant Work Experience Business Development and Sales-2-5 yrs Position Located In NY - New York Education BA/BS Job... more |
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| Dec 26 | Client Service Specialist | Charles Schwab | Morristown, NJ |
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Licenses / Certifications FINRA Series 7, FINRA Series 63 Relevant Work Experience Business Development and Sales-2-5 yrs Position Located In NJ - Morristown Education BA/BS Job... more |
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| Dec 26 | Field VP Mutual Funds (East) | Pacific Life | Field, KY |
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funds presentations. Qualifications: FINRA Series 7 and 63 required. Series 65, CIMA, CFP preferred. 5-10 Years Experience in Financial Services, Sales, and Mutual Funds... more |
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| Dec 26 | Compliance Officer | Russell Investments | Tacoma, WA |
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professional relationships with the firm's FINRA reviewers. * Administer the PFPC ... desired. * Strong working knowledge of FINRA & SEC rules regarding advertising and... more |
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| Dec 26 | Compliance Examiner - St. Louis | 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 26 | Regional Manager - Minneapolis, MN (TN) | TD Ameritrade IP Company | Minneapolis, MN |
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TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more |
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| Dec 26 | Manager, Fund Commentary Writer | Charles Schwab | San Francisco, CA |
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- spoken Current Licenses / Certifications FINRA Series 7 Relevant Work Experience Marketing-less than 2 yrs, Marketing-2-5 yrs Position Located In CA - San Francisco Education... more |
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| Dec 26 | Retail Distribution Strategy Analyst (LS) | TD Ameritrade IP Company | Jersey City, NJ |
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TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more |
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| Dec 26 | Product Manager - Cash Management (TC) | TD Ameritrade IP Company | Jersey City, NJ |
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TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more |
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| Dec 26 | Financial Advisor | First Command Financial Services | Frederick, MD |
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, Inc. and First Command Bank. Financial planning services and investment products, including securities are offered by First Command Financial Planning, Inc. (Member SIPC,... more |
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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 | Vice President, Client Relations | AIG | New York, NY |
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Understanding of SEC/FINRA requirements and related Compliance issues. About Us American International Group, Inc. (AIG), a world leader in insurance and financial services, is... more |
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| Dec 25 | Wealth Manager Relationship Manager | USAA | Phoenix, AZ |
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- FINRA Series 7 and 63 (or 66) (within 90 days) - FINRA Series 65 or 66 (within 90 days) ... - Candidate may be hired without the listed FINRA licenses if they have a CFP, however,... 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 25 | Wealth Manager Relationship Manager | USAA | San Antonio, TX |
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- FINRA 7 and 63 (or 66)*; FINRA 65 or 66 and life/health license (within 90 days).candidate may be hired without these licenses if they have a CFP, however, they must obtain... more |
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| Dec 25 | Financial Advisor - TCC | Ameriprise | Long Beach, CA |
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oard of Standards, Inc. 5 Different compensation structure may be in place depending on location Ameriprise Financial Services, Inc., Member FINRA and SIPC, is an Equal... more |
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| Dec 25 | Financial Advisor - TCC | Ameriprise | Tampa, FL |
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oard of Standards, Inc. 5 Different compensation structure may be in place depending on location Ameriprise Financial Services, Inc., Member FINRA and SIPC, is an Equal... more |
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