Average salary: $106,322 /yearly
More statsSearch Results: 1,842 vacancies
...with business partners.
Qualifications:
Bachelor's Degree Preferred or equivalent combination of education and experience.
FINRA series 7 & 24 required or can be obtained within 6 months.
Minimum of 4 years of relevant experience. Experience in financial...
Suggested
Home office
Flexible hours
...Compliance Ops Associate - FINRA Series 24
If you are a highly motivated individual and looking to join a vibrant growing company, Hennion & Walsh, Inc. may be the right choice for you.
Overview
Hennion & Walsh is an advocate for the individual...
Suggested
Position Overview
At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all...
Suggested
Holiday work
Full time
Temporary work
Part time
Work experience placement
...Job Description
Job Description Business Analyst with FINRA 4210
Duration- 6-12 Months
Location - New York City, New York
Prime Brokerage Experience in Client Services; Risk; Compliance.
Understanding of Margin Requirement and support Collateral Margin...
Suggested
...listening, verbal, and presentation skills.
~ In-depth understanding of retail investment vehicles and qualified retirement plans.
~ FINRA Series 7, 63, and 65 registrations.
~ FINRA fingerprinting required.
What Will Set You Apart
A passion for helping mass-...
Suggested
Holiday work
Temporary work
Work experience placement
Casual work
Local area
Remote job
Work from home
Work visa
...•Bachelor's or Associate Degree preferred
•2+ years of operations and/or service experience in the financial services industry
•FINRA licensure preferred (SIE, Series 6 & 63)
Your Role
You will serve as the primary point of contact for our clients, their Northwestern...
Suggested
Remote job
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.
Essential Job Functions:
This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct...
Suggested
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...headaches.
PLEASE NOTE: This is NOT an IT Compliance position. We are NOT looking for candidates with IT experience.
SEC/FINRA Compliance Analyst Primary Function:
We seek an SEC/FINRA Compliance Analyst with strong desire to learn and grow with the firm....
Suggested
Contract work
Work experience placement
Remote job
Flexible hours
2 days per week
...groups of clients around the country.
What You Will Bring:
Bachelor's degree or extensive industry experience required
FINRA Series 65
FINRA Fingerprinting
Experience with Private Client ($1m+ AUM) segment client communication within the investment advisory...
Suggested
Holiday work
Temporary work
Work experience placement
Casual work
Local area
Remote job
Work from home
Work visa
...oral communication skills. Good organizational and customer service skills. General banking and operations experience is helpful
6. FINRA Licenses 7 & 66 preferred
7. Appropriate State Life & Health Insurance licenses preferred
\n Benefit Highlights
• Medical...
Suggested
Part time
For contractors
...actively 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...
Suggested
...meetings.
What you will bring
Bachelor’s Degree or higher in business, finance, or related field.
Fingerprinting required
FINRA Series 65 registration required
FINRA Series 7 required
FINRA Series 63 required
What will set you apart
~8+ years...
Suggested
Holiday work
Temporary work
Work experience placement
Casual work
Local area
Remote job
Work from home
Work visa
...salary
~ Flexible schedule
~ Opportunity for advancement
~ Paid time off
~ Training & development
CXG ( is seeking a Senior Finra Broker Dealer Attorney for its group of companies. The Attorney will work with and report directly to the Firms Director of...
Suggested
Interim role
Remote job
Work from home
Flexible hours
Monday to Friday
...Insurance products
Requirements:
~5 years of experience in an RIA/Boutique firm
~5 years of experience with HNW/UHNW clients
~ FINRA license 6, 7, 63, 66 (or 65) and L&H Required
~ Managing a transferable book of business with a min of $20M in AUM.
~ Clean U4/U...
Suggested
Remote job
Home office
...resolution.
Conducts comprehensive investigations of field sales practices, including suspected fraud, violations of company policy, and FINRA and State Insurance Department laws and regulations. Investigations may include field audits and interviews with field...
Suggested
Contract work
Home office
Flexible hours
...years of experience with HNW/UHNW clients
~ CFP/ChFC and additional designations are preferred, but not required.
~ Applicable FINRA license(s).
~ Managing a transferable book of business with a min of $50-1000M in AUM.
~ Competitive yet collaborative personality...
Local area
Remote job
...company products and processes financial transactions, they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses.
Job Responsibilities:
Educates employees on account information, plan benefits, plan resources and tools...
Hourly pay
Shift work
Day shift
...AUM.
Qualifications:
~4 years of experience in an RIA/Boutique firm
~4 years of experience with HNW/UHNW clients
~ FINRA license 6, 7, 63, 66 (or 65) and L&H Required
~ Managing a transferable book of business with a min of $20M in AUM.
~...
Local area
Immediate start
Remote job
To conduct risk-based examinations of FINRA member firms and registered representatives
Essential Job Functions:
* Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision...
Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...learn about the financial services industry, develop your skills, and gain new experiences.
First four months, prepare to become a FINRA (Financial Industry Regulatory Authority) Registered Representative by studying for and obtaining your SIE, Series 7 and 63 licenses...
Local area
Remote job
Work from home
Home office
Flexible hours