Average salary: $106,322 /yearly

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Search 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... 
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Northwestern Mutual

Milwaukee, WI
7 days ago
 ...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... 
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Hennion & Walsh, Inc.

Boca Raton, FL
3 days ago
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...
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PNC Financial Services Group, Inc.

Pittsburgh, PA
3 days ago
 ...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... 
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Tekshapers Inc

New York, NY
2 days ago
 ...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-... 
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Empower

Littleton, CO
29 days ago
 ...•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... 
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Northwestern Mutual Life Insurance Company

Franklin, WI
22 hours ago
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... 
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Financial Industry Regulatory Authority

Chicago, IL
22 hours ago
 ...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.... 
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2 days per week

The Consortium

Portland, OR
25 days ago
 ...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... 
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Empower

Littleton, CO
12 days ago
 ...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... 
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Part time
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First Horizon Advisors, Inc.

Jackson, TN
5 days ago
 ...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... 
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unitedconsultingllc

Cedar Rapids, IA
20 days ago
 ...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... 
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Empower

Littleton, CO
15 days ago
 ...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... 
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Monday to Friday

CXG Holdings Inc

Selden, NY
19 days ago
 ...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... 
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GPAC

Bangor, ME
27 days ago
 ...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... 
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Northwestern Mutual

Milwaukee, WI
8 days ago
 ...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
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GPAC

Houston, TX
27 days ago
 ...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... 
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ADP

Louisville, KY
a month ago
 ...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
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GPAC

Dover Foxcroft, ME
17 days ago
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... 
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Financial Industry Regulatory Authority, Inc.

Kansas City, MO
4 days ago
 ...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
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Work from home
Home office
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Fidelity Investments

Providence, RI
1 day ago