Average salary: $85,147 /yearly
More statsGet new jobs by email
$125k - $150k
...SEC-registered investment advisory firm (RIA). Through common ownership, SAM is affiliated with Strategas Securities, LLC (STS), a FINRA member broker‑dealer and RIA. SAM offers a suite of model portfolios to clients. The model portfolios are created by SAM’s affiliate...SuggestedFull time- ...investment and insurance products based on clients’ needs and investment tolerance through LPL Financial, a registered Broker/Dealer, member FINRA and SIPC. Advisors must have the proper professional qualifications and follow strict financial industry rules, and provide client...SuggestedWork experience placementWork at officeRemote workRelocationMonday to FridayFlexible hoursAfternoon shiftEarly shift
- ...txt, rtf LinkedIn Profile How were you referred for this position? If referred by a current AEL employee, please list name. Are you FINRA registered? If so, please list the FINRA licenses you hold and, if the licenses are not active, the expiration date of those licenses...SuggestedRelocationWork visa
$65k - $80k
...this role, you will be a trusted advisor to clients, managing their onboarding and ownership changes. You are required to have active FINRA Series 7 and 63 licenses and 1-3 years of financial services experience. The position offers a competitive salary ranging from $65,0...Suggested$95.3k - $171.8k
...impact at a leading regulatory organization? In this dynamic role, you'll be a trusted business partner, working collaboratively across FINRA to understand diverse business needs and deliver strategic sourcing solutions. You'll lead the end-to-end procurement processfrom...SuggestedContract workLocal areaFINRA
Rockville, MD3 days ago$59k - $95k
...federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This is a fully remote role. What you will do:...SuggestedRemote workCetera Financial Group
Dallas, TX1 day ago$28.01 per hour
...Travel: Arrange and/or assist with travel and expense reports, as requested. Special Projects: As requested. Demonstration of FINRA's values. Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity...SuggestedHourly payFull timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate startFlexible hoursFINRA
Los Angeles, CA4 days ago$45k - $70k
...you as you navigate our Industry leading training program, working at home and in an Investor Center.* **Obtain Licenses:** Become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 Top Off and...SuggestedWork at office1 day per week- We are seeking a customer-focused Insurance Customer Service Representative to support clients with inquiries related to insurance and financial products. This role requires strong communication skills, attention to detail, and the ability to operate Insurance, Call Center...Suggested
DXC Technology
Hamtramck, MI1 day ago - ...Dealer. You will help oversee daily functions that support compliance, settlements, and regulatory reporting, ensuring adherence to SEC, FINRA, and other regulatory requirements. Your expertise will drive operational efficiency, support risk management, and contribute to...Suggested
Chase
Newark, DE7 hours ago - ...distributes reports and other documents which may require some analysis. Acts as a back-up to other Executive Assistants (EAs) in the FINRA C-Suite as appropriate. This includes collaborating with other EAs to ensure administrative coverage in the FINRA C-Suite at all...SuggestedWork at office
FINRA
Washington DC3 days ago $63.3k - $117.2k
...Compliance Program, with a specialized focus on regulatory registrations for employees engaging in activities requiring licensure with FINRA, NFA, and SEC. The role coordinates compliance monitoring, risk assessments, and control evaluations to ensure the business meets...SuggestedPart timeWork at officeBmo
Chicago, IL2 days ago- Unlock Your Career Potential: Customer Service At ADP It's all about enabling our customers to be more effective employers. Our Customer Service team makes it happen by collaborating with customers and other ADP colleagues to ensure our products and services deliver...Suggested
Automatic Data Processing
El Paso, TX2 days ago - ...Service Skills. Required Qualifications: High School diploma is required (the diploma will be requested during background check) FINRA Series 6 license (active and in good standing) is required Employment is contingent upon successful completion of a background...SuggestedMinimum wageRemote workWork from homeMonday to Friday
DXC Technology
Tulsa, OK2 days ago - ...Securities America, Inc. (Nikko US) is an SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB). These entities provide coordinated services to our corporate and...SuggestedWork at officeLocal areaWork from home
Smbc Global Foundation Inc
New York, NY1 day ago - ...communication skills, attention to detail, and the ability to operate in a fast-paced, high-volume call center environment. Candidates with FINRA Series 6 or 7 licenses are strongly preferred, as the role involves supporting clients with regulated financial and insurance-...Minimum wage
DXC Technology
Nashville, TN2 days ago - ...training and/or mentoring less experienced staff. Support QA function for general service teams and enhanced QA review required for FINRA registered associates performing transactions on products with Variable investment feature (FINRA governed) as needed/assigned....Minimum wageRemote workWork from homeHome officeMonday to FridayShift work
DXC Technology
Nashville, TN1 day ago $57.26k
**Open to remote** Series 6 FINRA License - REQUIRED About the job: The Life Claims & Annuity Sr. Specialist is responsible for assessing and making decisions on variable/portfolio death claims, death under income plan, variable/fixed annuity, and Northwestern...Contract workWork experience placementRemote workFlexible hoursNorthwestern Mutual
Milwaukee, WI2 days ago- ...of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of d Officer, Office, Hearing, Assistant, Legal, Business Services...Work at office
Financial Industry Regulatory Authority , Inc.
Washington DC1 day ago - ...They Maintain accurate license data in AgentSync, manage system updates, reporting, and act as the internal SME on licensing, DOI, and FINRA regulations. Drive licensing policy governance, process improvements, and partner with HR on licensing-related hiring or...Work at office3 days per week
HealthPlanOne
Shelton, CT7 hours ago $122.25k - $183.37k
...Maintain security tools across Development, QC, and Production environments. Collaborate with cross-functional teams to enhance FINRA's security posture. Apply established and ad hoc processes and techniques to identify, validate, prioritize, and track security risks...Full timeTemporary workFor contractorsFor subcontractorLocal areaImmediate startNight shiftWeekend workAfternoon shiftEarly shiftFinancial Industry Regulatory Authority , Inc.
Rockville, MD2 hours agonew$111.4k - $202.1k
...IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position....Full timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate startFinancial Industry Regulatory Authority , Inc.
Rockville, MD7 hours ago$21.35 per hour
...This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 6 - FINRA, SIE - FINRA Compensation Range: Pay Range - Start: $21.35 Pay Range - End: $32.02 Geographic Specific...Remote workShift workNorthwestern Mutual Life Insurance Company
United States3 days ago- ...participates in achieving team goals. Meets/exceeds performance metrics as determined by department. Qualifications · Current FINRA Series 6 license at time of application. · High School diploma or equivalent. · Up to 1 year experience with call center or customer...Work at office
unitedconsultingllc
Cedar Rapids, IA3 days ago $70.5k - $81.5k
...Client Service Excellence Center Associate Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a Client Service Excellence Center associate! At Vanguard, we have a client-first mentality that we live and breathe every day through...Remote work- ...affiliates. The successful candidate will be a hands-on leader with deep expertise in broker-dealer operations, GAAP accounting, and SEC/FINRA reporting, and will be responsible for driving operational excellence, ensuring accurate financial reporting, and maintaining full...
- ...and core executor. This hands-on role is pivotal in managing the firm's financial activities, ensuring compliance with GAAP, SEC, and FINRA regulations, and being deeply involved in financial decision-making. The successful candidate will be responsible for all accounting...
- ...degree, Series 7 and 24 licenses or the ability to obtain them, and a proven track record of dealing with regulators such as the SEC, FINRA, CFTC, and NFA. Essential skills include in-depth knowledge of fixed income businesses, strong writing, verbal, and analytical...
$65k - $80k
...High Net Worth Client Case Representative Are you a FINRA Series 7 and 63 licensed professional with a passion for building meaningful client relationships? Join our team as a High Net Worth Client Case Representative for our Personal Investor clients at Vanguard. At...- ...Major, Lindsey & Africa’s Interim Legal Talent group has an immediate need for an Interim (temp-to-perm) FINRA & White-Collar Criminal Attorney. Overview : We are seeking an experienced attorney with a strong background in FINRA matters and white‑collar crimes, with...Permanent employmentTemporary workInterim roleImmediate start1 day per week
Major, Lindsey & Africa
Philadelphia, PA4 days ago
