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
- ...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
$86.9k - $119.52k
...basic conditions independently, including the execution of AM & PM (BD-Breakdown maintenance, planned maintenance) standards on dedicated... ...sigma is highly preferred!Schedule: Monday - Friday, 1st shift (7:00 am - 4:00 pm) + weekend overtime as needed. Salary and Benefits...BdFull timeFor contractorsRelocation packageMonday to FridayShift workWeekend 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...SuggestedHourly pay$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$225k - $270k
...help strategically build the Hines Private Wealth platform across RIA and RIA aggregator channels in the Central Region (Midwest). The... ...institution required; Master’s level education preferredFINRA Series 7 and 63 licensing8 or more years of experience working with RIAs...SuggestedWork at officeLocal area$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$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;...Work at officeM1 Finance
Chicago, IL20 days ago- ...interact with clients and team members.Preferred: Chartered Financial Analyst (CFA) designation and/or relevant FINRA licenses (Series 7, 63, 24, 65, 66).Experience in investment management and working with high net worth individuals is a plus.BenefitsMedicalDentalVision...
$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 hoursRBC
Chicago, IL3 days ago$250k - $350k
...analysts both in person and remotely, preferably at a regional boutique or middle market bank, requiredLicense/Certifications:FINRA Series 63 and 7 or 79 licenses, or in active pursuance of licensure, requiredSoftware:Proficient in the use of Microsoft Office Suite,...ApprenticeshipWork at officeRemote workWeekend workAfternoon 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$150k
...Lazard Regional Consultant - RIA Central Lazard is one of the world's preeminent financial advisory and asset management firms.... ...services industry, specifically within the RIA channel ~ FINRA Series 7 and 63 or 65 required ~ Deep fluency in capital markets, macro...Local area$149.7k - $256.7k
...advisory or related financial service industry including people managementLicense/Certifications/TrainingPreferred - active FINRA Series 7 and Series 24 registrations, with Series 63 and Series 65 or 66Compensation & Benefits:Typical hiring range: $149,700.00 to $256,700...Full timeTemporary workPart time- ...assigned 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 setting...
- ...worldwide. With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients... ...skills are required to prepare financial spreadsheets.Experience: 5-7 years in financial and/or credit analysisSalary Range:$74,200 - 1...Rotational programFull timeH1bWork at officeWorldwideFlexible hours
- ...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
$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$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$24.4 - $26 per hour
...opening for a full time FRONT OF HOUSE LEAD SUPERVISOR position. Location: Neuberger - 191 North... ...: Full time; Monday through Friday, 7:00 AM to 3:00 PM. More details upon interview... ...service environment is required. Pay Range: $24.40per hour to$26.00per hour. This...Full timePart timeLocal areaRemote workMonday to FridayFlexible hoursRestaurant Associates
Chicago, IL1 day ago$74.2k - $126.2k
...worldwide. With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients... ...investors or similar professional contacts.Licensing: Series 7 and 63 required or must be obtained within 90 days.Salary Range:...Full timeH1bWork at officeWorldwideFlexible hours$123.2k - $200k
...experience (including military service) may be considered.EducationBachelorsCertificationsNo Required Certification(s)LicensesFINRA Series 7, 24 (or 9,10) and 66 (or 63,65) required.Pay TransparencyBase Salary: $123,200.00 - $200,000.00Salaries may vary based on geographic...Full timeTemporary workPart timeWork experience placementWork at office$260k - $420k
Mergers & Acquisitions Associate | Chicago, IL | Firm Policy | 3-7 Years' Experience | $260,000-$420,000 Base + Benefits & Bonuses | Am Law 50 Watts & Associates is working discreetly with a highly regarded Am Law 50 global full-service law firm seeking a Mergers & Acquisitions...Work at office$260k
...matters for private equity funds, their portfolio companies, and other public and privately held businesses Required Qualifications: 3-7 years of corporate M&A and private equity transactions experience Large law firm experience preferred Excellent academic...Work at office$116.98k - $125.27k
...decomposition, and estimation of latent variables (10%). Expert in time series, cross sectional and panel methodologies for conducting back test... ...Program6-Week Paid Family Caregiving LeaveCompetitive 8-24 Week Paid Parental LeaveAdoption AssistanceLeadership Coaching &...Full timeTemporary workFixed term contractWork at officeRemote workFlexible hours$42.9k - $54.3k
...scanned into the client chart. Scanning should be completed within 24 hours of stamp date. Fax the discharge / transfer summary /... ...Manage, order, and distribute medical supplies as needed. Assist BD with EOE billing tasks. Manage and process all accounts payable...BdFull timeTemporary workApprenticeshipWork at officeCenterWell
Oak Brook, IL5 days ago- ...for the firm through the analysis of data. Work with others in the BD&M department and across the firm to help proactively use data to... ...Qualifications Bachelor's Degree required. #LI-Hybrid Minimum of seven (7) years of progressive experience within marketing technology, IT...Bd
$75k - $90k
...Requirements Bachelor's degree required Minimum of 5 years of financial services experience State Insurance License (required) Series 65 License (or Series 7/66 combination) (required) Proficiency with Microsoft Excel, Word, and database management; basic understanding of...Full timeRelocationRelocation package- ...skills and work experience Licensing: State Life & Health, SIE, Series 7, Series 66 Personal Attributes: values-driven with a track record... ...supports you with biweekly stable pay for up to your first 24 months as a financial professional, empowering you to establish...Work experience placementWork at officeLocal areaFlexible hours
$160k - $200k
...growth. This role sits at the intersection of BD and capital markets—you’ll build strategic... ...partnership agreements Requirements 7+ years in BD, corporate development, investment... ...Experience supporting or leading capital raises (Series A and beyond) Strong deal‑structuring...Bd
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