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    31 885jobs - Page 1 of 8 (0.30 seconds)
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    Mutual of Omaha
    |
    Ashburn, Virginia
    - 12d ago
    Securities and advisory services offered through Employer Investor Services, Inc. Member FINRA SIPC...
    Junior Financial Representative | Ashburn, VA, United States
    Entry Level-Sales | Ashburn, VA, United States
    Mutual of America
    |
    Boca Raton, Florida
    - 6d ago
    This opportunity requires a college degree. or. a FINRA Series 6 license, and offers a competitive... QUALIFICATIONS. College Degree. or. a currently active FINRA Series 6 License. If not FINRA licensed...
    U.S. Bank
    |
    Portland, Oregon
    - 12d ago
    Eight or more years of administrative or operations experience in the financial services industry. One or more years of supervisory experience. Finra Series 7, 63, 24 or 9 & 10,life, variable...
    FINRA
    |
    Atlanta, Georgia
    - 6d ago
    We Work to Protect Investors. Join our Team. FINRA is dedicated to providing you an externship... www.finra.org careers. No phone calls please. Summer Term. May to August. Fall Term. September to...
    EXL Service
    |
    Richmond, Virginia
    - 11d ago
    Participates in initiatives and or provides suggestions for improvements to customer experience and. or current processes. Qualifications. Qualifications. Currently FINRA Series 6 licensed or...
    FINRA
    |
    Rockville, Maryland
    - 5d ago
    To be considered for this position, please submit your resume through our career site at. www.finra.org careers. no phone calls, please. Job Summary. Once built, the Consolidated Audit Trail...
    The Forum Group
    |
    New York, New York
    - 5h ago
    Coordinate with branch management and regulatory bodies (SEC, FINRA, etc.) on acknowledging, updating... draft Form U4 U5 disclosure language. submit 4530 disclosure filings to FINRA. Compile and present MI...
    Mutual of Omaha
    |
    Ashburn, Virginia
    - 3d ago
    Member FINRA SIPC. Strong company ratings. Insurance rating and information agencies A.M. Best, Standard & Poor's and Moody's all agree we are one of the best. Solid consumer brand awareness...
    Mutual of Omaha
    |
    Ashburn, Virginia
    - 3d ago
    Member FINRA SIPC. Strong company ratings. Insurance rating and information agencies A.M. Best, Standard & Poor's and Moody's all agree we are one of the best. Solid consumer brand awareness...
    AIT Global
    |
    Reston, Virginia
    - 1h ago
    They need Sr Java Developers. someone who is hands on and strong with Core Java and related technologies. There are three locations Hoboken, NJ, Rockville, MD & Reston, VA. Please ...
    EXL
    |
    Richmond, Virginia
    - 13d ago
    Participates in initiatives and or provides suggestions for improvements to customer experience and. or current processes. Qualifications. Qualifications. Currently FINRA Series 6 licensed or...
    EXL Service
    |
    Richmond, Virginia
    - 8d ago
    Responsibilities. Provide customer service to producers and contract owners by effectively responding to incoming phone calls related to variable and fixed annuity products. Perfor...
    JobLeads
    |
    Virginia
    - 7d ago
    Salary : 125.000 - 150.000
    The Financial Industry Regulatory Authority (FINRA) is seeking a well qualified individual for our Vice... FINRA) and selected by CAT NMS, LLC to serve as the CAT Plan Processor to build and operate the CAT...
    Vanguard
    |
    Malvern, Pennsylvania
    - 7d ago
    Ability to train and mentor other staff with less experience. 10. years financial industry experience. Buy side preferred. CFA level1 2 3 or FINRA Series 7 a plus. Experienced with public cloud...
    Selby Jennings Buyside
    |
    New York, New York
    - 5h ago
    You will take full advantage of your knowledge of SEC, FINRA, and other US, Chinese, and state... Be a master of time management. Familiarity with SEC, FINRA, UCITS, and other US, Chinese, and EU...
    First Republic
    |
    San Francisco, California
    - 9h ago
    An understanding of banking laws and regulations. experience dealing with banking regulators (Fed, OCC and FDIC) and or securities regulators (SEC and FINRA). Experience overseeing coordinating...
    Mondrian Alpha Recruitment Solutions
    |
    New York, New York
    - 5h ago
    Certified Internal Controls Auditor. Experience Exposure. Exposure to managing regulators such as FRBNY, FINRA, OCC etc. Comprehensive knowledge of the external environment (risk, regulatory...
    Elevations Credit Union System
    |
    Louisville, Colorado
    - 11d ago
    Salary : $100
    Follows the rules and regulations set forth by the credit union, FINRA, SEC and the broker dealer... Required Education and Experience. FINRA Series 7 and Series 66 or 65 required. State Life and Health...
    Robert Half - US
    |
    New York, New York
    - 5h ago
    Salary : $80-100k
    Prepare and file certain required regulatory filings and disclosures with the SEC, FINRA, BCSC (e.g... Solid understanding of fundamental Advisers Act concepts and rules as well as FINRA rules and...
    HSBC
    |
    Beverly Hills, California
    - 5d ago
    Refer investment opportunities to Premier Relationship Advisors and Premier Wealth Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc. ("HSI"). Refer insurance...
    FINRA
    |
    Philadelphia, Pennsylvania
    - 2d ago
    We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Extern. Department of Enforcement opening in Philadelphia, PA. To be considered for this...
    PVK Corporation
    |
    Rockville, Maryland
    - 8d ago
    Job Description. Location. MD. Client Finra. Lead exp is plus. Phone and Skype. Summary. The main function of a .NET Developer is to design, develop, test, enhance, document, and deploy...
    JobLeads
    |
    New York, New York
    - 17d ago
    Salary : 125.000 - 150.000
    Senior Vice President and Member Supervision Head of Data Analytics and Technology, All FINRA. FINRAs... FINRAs mission is Investor Protection, Market Integrity and our Member Supervision group is at the heart...
    TD Ameritrade, Inc
    |
    St. Louis, Missouri
    - 13d ago
    Complete analytical work with management and department reporting of volumes, metrics and risks Compile and distribute regular periodic and ad hoc reporting, including. FINRA rules 3120 3130...
    Goldman Sachs
    |
    New York, New York
    - 12d ago
    Collaborative and team work oriented. Independent, logical, and critical thinking, with the willingness to constantly think outside of the box. FINRA Series 7 and 63 licenses (must obtain within...
    Advisors Excel, LLC
    |
    Topeka, Kansas
    - 12d ago
    Facilitating the advisors on boarding activities in accordance with FINRA, SEC, and state regulations... Knowledge of brokerage, advisory, and insurance products as well as FINRA and SEC rules and regulations...