Supervisor BD/RIA (Series 7&24)
$80k - $100kSan Blas Securities
About San Blas Securities San Blas Securities is a rapidly growing, full‑service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally. Position Overview We are seeking a highly organized and detail‑oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full‑time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules. Compensation Competitive compensation and bonus based on experience. $80 – $100K. Responsibilities Review and enforce the firm’s Written Supervisory Procedures and Compliance initiatives. Manage firm’s onboarding training program for compliance with new hires Schedule new hire training Assist in administering firm annual training and advisor attestations Schedule targeted training as required Foster a culture of compliance Document supervisory activities Review advisors purchase and sales blotter Review advisors communications to (and from) clients Review/report customer complaints to CCO Assist in conducting Branch Exams Assist in review and follow up with exception reports generated by Compliance which require action from supervisors Qualifications Bachelor’s degree or experience equivalent FINRA Series 7 and FINRA Series 24 required 3 – 5 years relevant experience at RIA and BD or industry regulator Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules Familiarity with RBC and Schwab back‑office a plus #J-18808-Ljbffr San Blas Securities
$26.92 - $29.33 per hour
...and relationship management Strong computer skills Is prepared to pass licensing exams Security Industry Essentials (SIE) and Series 7 and Series 66 Desire to establish a long-term career in the financial services industry at a fast-growing company that rewards...SuggestedHourly payTraineeshipWork at officeShift workDay shift$65k - $85k
...products, services, and education. Benefit from robust marketing support and ongoing professional development. Required Qualifications Series 7 and 66 or equivalent (Series 66 must be obtained within 90 days if not held). Strong computer/technological skills with ability to...SuggestedShift workDay shiftBank of America
Chicago, IL2 days ago- ...National Financial Solutions Advisor I (Series 7 Required) Chicago, Illinois To proceed with your application, you must be at least 18 years of age. Acknowledge ( Bank of America employees are required to meet all posting eligibility requirements prior...SuggestedWork at officeFlexible hoursShift workDay shift
Bank of America
Chicago, IL3 days ago - ...engage clients through incoming calls and help them with inquiries related to their stock portfolios. The firm offers training for the Series 7 & 63 licenses, a competitive salary, and a hybrid work environment. Ideal candidates will have a bachelor’s degree, at least 2...Suggested
- ...products, and help with account-related requests while driving service and sales excellence. The position includes paid training for Series 7 and 63 licenses, a competitive base salary with comprehensive benefits, and opportunities for growth within a leading global...Suggested
$26.92 - $29.33 per hour
Job Overview This phone‑based service rep engages with existing Merrill clients, identifies their financial needs, and refers opportunities to specialized sales teams. The role requires client‑focused communication, multitasking, and preparation for industry licensing exams...Hourly payTraineeshipShift workDay shift$24.04 per hour
...Bachelor's degree in a related field, and the completion of the Securities Industry Essentials® Exam. With a competitive hourly salary of $24.04 and extensive benefits, including tuition reimbursement and paid time off, this position supports your professional growth and...Hourly pay- Forman Mills seeks a Back End Supervisor to oversee receiving, processing, EAS tagging, and backroom functions, ensuring 24-hour door-to-floor execution and clean, organized stockrooms. You will manage daily productivity and coordinate with the Store Manager and ASM to...
$80k - $100k
San Blas Securities, a full-service investment bank, is looking for a Compliance Supervisor to support regulatory and compliance efforts. This full-time position is based in Chicago and involves managing compliance training programs and document supervisory activities....BdFull time- ...will have a strong background in insurance investment management, possess at least 5 years of relevant experience, and hold FINRA Series 7 and Series 63 registrations. The position involves approximately 50% travel and will be based in the Mid-West. #J-18808-Ljbffr Teachers...Bd
$200k - $250k
...Company retirement options including 401(k) + matching & Roth account option Position Overview The Portfolio Manager - Closed End Fund Series is a senior investment management leader responsible for the strategy, oversight, and performance of Core Spaces’ closed-end,...Hourly payFlexible hours$99k - $176k
..., MBA or another advanced degree Securities/broker-dealer risk, compliance, legal, product manager/business experience Series 7, 66 and 24 registrations What's In It For You? We thrive on the challenge to be our best, progressive thinking to keep growing,...Full timeFlexible hoursRoyal Bank of Canada
Chicago, IL3 days ago$275k - $325k
...: Proven track record in managing Liquidity, Margin, and Trading risk is essential. Licensing: Relevant FINRA licenses (e.g., Series 7, 24) are highly preferred; Series 4 or 9/10 is a significant plus. Mindset: An "owner" mentality with the ability to build from the...Full timeWork at officeWorldwideDriveWealth
Chicago, IL3 days ago- ...and setting up self-service options to access their accounts 24 hours a day / 7 days a week Adheres to policies, procedures, and regulatory... ...registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and...Immediate startAfternoon shift
- ...and setting up self‑service options to access their accounts 24 hours a day/ 7 days a week Adheres to policies, procedures, and regulatory... ...registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and...Immediate startAfternoon shift
- ...territory to meet with clients and prospects. Required qualifications, capabilities and skills: Bachelor's degree required. Series 7 & 63 securities licenses. Proven experience in client relationship management, preferably in an institutional or advisory...
- ...and setting up self-service options to access their accounts 24 hours a day / 7 days a week Adheres to policies, procedures, and regulatory... ...registered, the Securities Industry Essentials (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and...Immediate startAfternoon shift
$75k - $110k
...experience working within a financial institution, broker dealer (BD), Futures Commission Merchant (FCM), exchange, regulator, or... ...environment and to multi‑task with minimal supervision ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus Capital...BdFull timeWork experience placementWork at officeLocal areaRemote work- Morgan Stanley in Chicago seeks a Financial Services Representative to provide exceptional customer service, identify client needs, and drive sales. You will handle inbound calls about portfolios, educate clients on products, and pursue opportunities for additional solutions...Work at office
$120k - $200k
...(BDs) and Registered Investment Advisors (RIAs), helping them better serve their Financial... ...of the typical business structure of BD and RIA firms. The ideal candidate will have... .../future needs, and take ownership SIE, Series 7, and Series 63 licenses required or to be...BdFlexible hours$135k - $155k
...drive revenue, creating effective pitches, and fostering client relationships. The ideal candidate will possess a Bachelor's degree, with 7+ years of relevant experience in marketing or business development. Competitive salary range is $135,000-$155,000, depending on...Bd$65k - $95k
...leaving their home and our 350,000+ customers give us an average of 4.7 star rating. That's a big reason why we are growing six times... ...job to hit profit objective. Complete job costing reports within 24 hours of completing an installation. Consistently search for...Full timeWork at officeImmediate startFlexible hoursFloor Coverings International
Chicago, IL1 day ago$120.56k
...communities. Education & Credentials: CLU®, B.S. Business Management (Finance & Psychology), Roger Williams University; FINRA Series 6, 7, 24, 63, 66 licensed. Follow this link to learn more about Chris: Erica Berning, LUTCF, CLF, CLU® – Senior Partner: Erica joined...Live inWork at officeLocal areaWork from homeFlexible hoursNew York Life
Chicago, IL2 days ago$140k - $160k
...examinations, audits, and ad hoc reporting requests Qualifications 7-10 years of brokerage or securities operations experience,... ...requirements applicable to broker dealer operations Series 7 and 24 required; Series 57 a plus Advanced proficiency in Excel; intermediate...Work at office$23.8 - $26.45 per hour
...gain a strong foundation in sales and client service. Within 18-24 months, you’ll be equipped to join a local team or build your own... ...experience. Military veterans are encouraged to apply. FINRA Series 7, 63/65 or 66 required or obtained within 90 days. State insurance...Hourly payFull timeLocal areaRemote workThrivent Financial
Chicago, IL2 days ago- ...leaving their home and our 350,000+ customers give us an average of 4.7 star rating. That's a big reason why we are growing six times... ...job to hit profit objective. Complete job costing reports within 24 hours of completing an installation. Consistently search for...Full timeWork at officeImmediate startFlexible hours
Floor Coverings International of Downtown Chicago
Chicago, IL2 days ago $85k - $100k
...relationship management, market communication, and collaborative client service delivery. The position requires a Bachelor's degree, Series 7 and 63 licenses, and a commitment to core values of integrity and excellence. The competitive salary ranges from $85,000 to $100,0...$110k - $130k
...developing new business opportunities, leading outreach strategies, and working with teams to meet growth objectives. The ideal candidate has 7-10 years of experience in business development or sales within professional services, alongside a bachelor's degree in a relevant...BdFlexible hours- ...working for an exchange, a regulatory organization, a broker-dealer (BD), a futures commission merchant (FCM), or a similar organization... ...and in a team, with multitasking abilities. ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus. To be...BdFull timeWork at officeRemote work
Interactive Brokers
Chicago, IL3 days ago - BD is seeking a National Leader focused on expanding market presence in emerging care settings and retail health. The role requires a strategic business development expert with over 7 years in the healthcare sector and a strong track record of building relationships and...Bd
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