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    79 233jobs - Page 1 of 14 (0.19 seconds)
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    JPMorgan Chase
    |
    Los Angeles, California +2 locations
    - 3d ago
    FINRA Series 6 7, state registration (including 63 or 66 if required), and Life licenses are required. or must be successfully completed within 120 days of starting the role. Compliance with...
    FINRA
    |
    San Francisco, California
    - 2d ago
    Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well qualified... www.finra.org careers. no phone calls, please. Job Summary. The Surveillance Director is responsible for...
    FINRA
    |
    San Francisco, California
    - 3d ago
    Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well qualified... www.finra.org careers. no phone calls, please. Job Summary. Regulatory Coordinators monitor and evaluate...
    Fidessa
    |
    Jersey City, New Jersey
    - 2d ago
    US Equities and Listed Options Regulations and Compliance. LATAM Regulations and Compliance. SEC and FINRA audit workflows, policies and procedures. Equities trading business flows. e.g...
    Casco Bay Wealth Advisors
    |
    Brunswick, Maine
    - 13h ago
    Position Summary. Works directly with in house advisors assisting with the administration and processing of business and client services.Collaboration with staff at multiple office...
    New York Life - Boston
    |
    Cohasset, Massachusetts
    - 52d ago
    Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA SIPC), A Licensed Insurance Agency. Equal Opportunity Employer M F D V SO. SMRU1711366 (Exp. 9 13 2018...
    TwinStar Credit Union
    |
    Olympia, Washington
    - 2d ago
    Securities and insurance products are offered through Cetera Investment Services LLC, member FINRA SIPC.Advisory Services are offered through Cetera Investment Advisers LLC.Cetera is not...
    finra
    |
    New York, New York +5 locations
    - 41d ago
    Examiner. Member Regulation, Membership Application Program. New York, NY or any other FINRA office... Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well qualified...
    3coast
    |
    Chicago, Illinois
    - 12d ago
    This position requires prior financial services experience and FINRA certifications. This is an... FINRA certifications are required with Series 7 and 63 initially, and others which may be obtained while...
    Frost Bank
    |
    Houston, Texas
    - 2 months ago
    And conduct appointments with customer for purposes of selling appropriate mutual funds or other investments. Qualifications. Required. FINRA Series 7, 63, and 65 licenses or FINRA Series 7 and...
    BNP Paribas
    |
    New York, New York
    - 2 months ago
    PREFERRED QUALIFICATIONS. MBA or an advanced degree from a top tier program. FINRA REGISTRATION REQUIRED. None. BNP Paribas is committed to providing a work environment that fosters diversity...
    BNP Paribas
    |
    San Francisco, California
    - 31d ago
    Formal credit training. Strong knowledge of accounting and financial statement analysis, Excel, and general banking practices. FINRA Registrations Required. Series 79 and Series...
    American International Group, Inc.
    |
    Venice, Florida
    - 53d ago
    Job Requirements. What You Need. Self motivated with a strong drive to succeed Ability to obtain FINRA Series 7 and 66 or 6 and 63 license(s) with VALIC sponsorship Ability to obtain active...