Average salary: $84,924 /yearly
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- ...solutions to Advisers, Funds and Broker Dealers: - Outsourced CCO - CCO Support - Advertising and Marketing Review - Mock SEC/FINRA Exams - SEC/ERA/Broker Dealer Registration - Registered Representative Licensing - Principal Underwriter for Registered Funds...SuggestedMonday to Friday
Vigilant Compliance
Chadds Ford, PA1 hour agonew - ...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...Suggested
- ...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...Suggested
$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...SuggestedRemote workVanguard
Atlanta, GA1 day ago$65k - $80k
...simplify complex financial processes and serve as a trusted advisor through critical client moments. The ideal candidate will have active FINRA Series 7 and 63 licenses, along with 1-3 years in financial services. This position offers a base salary range of $65,000 – $80,000...SuggestedVanguard Group
Dallas, TX2 days ago- ...Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V 1 - Full-time agents and their dependents are immediately...SuggestedFull timePart timeCurrently hiringWork at officeLocal areaImmediate start
New York Life
San Antonio, TX1 day ago - ...customer-facing teams to enhance operational efficiencies. Candidates should have profound knowledge of brokerage operations and hold a FINRA Series 7 license. The role offers competitive compensation, including performance bonuses and comprehensive benefits, in a dynamic...Suggested
Robin Hood
Chicago, IL1 day ago - A regulatory authority in the financial sector is seeking an Associate Principal Content Manager in New York to manage the development of examination materials and maintain standards for securities professionals. The ideal candidate has a Bachelor's degree and at least...Suggested
Financial Industry Regulatory Authority , Inc.
New York, NY3 days ago $62k - $84k
...role demands a Bachelor's degree and 2+ years of experience in financial services, with a focus on compliance functions related to FINRA and SEC regulations. Responsibilities include administering compliance programs, providing guidance on regulations, and improving compliance...SuggestedRemote workFlexible hoursPrincipal Financial Services, Inc.
Charlotte, NC3 days ago- ...About RedSwan RedSwan Digital Real Estate is a FINRA-licensed digital investment platform focused on institutional commercial real estate. The firm works with sponsors and investors to structure and distribute real estate investments through regulated digital securities...SuggestedWork at office
RedSwan Digital Real Estate
Houston, TX2 days ago $96.6k - $172.8k
...the LMS platform and execution of the strategic direction of a centralized content catalog that would include content developed by FINRA, other SRO’s and third-party content providers where firms and industry professionals may procure content to support their Firm Element...SuggestedFull timeTemporary workLocal areaImmediate startFinancial Industry Regulatory Authority , Inc.
New York, NY21 hours ago$114.2k - $207.2k
...and capital allocations. coaches and trains junior colleagues in techniques, processes and responsibilities. demonstration of finra's values. collaboration, both in-person and virtually, in furtherance of finra's mission of investor protection and market integrity...SuggestedWork experience placementLocal areaNight shiftFINRA
Rockville, MD1 day ago$211.4k
A regulatory authority in the financial industry is seeking an HR Program Manager to enhance employee experience initiatives. This role involves collaborating with business leaders to execute culture and engagement strategies, managing projects such as Employee Resource...SuggestedFinancial Industry Regulatory Authority , Inc.
New York, NY2 days ago$150k - $190k
...seeks a Senior Compliance Officer to lead its Security Based Swap Dealer program in Miami, FL. You will ensure compliance with SEC and FINRA regulations, oversee training programs, and partner closely with various departments to improve compliance frameworks. Ideal...SuggestedStoneX Group Inc.
Doral, FL2 days ago$75k - $85k
...of non-field OSJ locations like Charlotte, NC. This role includes travel and a hybrid work schedule. Ideal candidates should have a FINRA Series 7 license or willingness to obtain one, along with a bachelor's degree and compliance experience. Proficiency in Excel and strong...SuggestedEquitable Services
Charlotte, NC2 days ago$155k - $175k
...is a powerful, easy-to-use Compliance as a Service solution, directly integrating regulatory database sources of truth (i.e. NIPR, FINRA) with core business systems (i.e. Salesforce) so we can automate the critical business processes associated with these compliance requirements...Work at officeRemote workWork visaAgentSync
Denver, CO2 days ago$120k - $140k
...A financial technology company in New York is seeking a Regulatory Response Analyst to assist with SEC, FINRA, and state regulatory inquiries. The successful candidate will analyze complex regulatory issues and produce clear, concise responses. Candidates should possess...DriveWealth
New York, NY2 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...
Automatic Data Processing
Dallas, TX1 day ago - A leading financial regulatory organization is seeking an LMS Manager to oversee the administration of its Continuing Education Marketplace. This role involves optimizing the Learning Management System (LMS) for various stakeholders, managing course publication schedules...
Financial Industry Regulatory Authority , Inc.
New York, NY21 hours ago $57.26k
...Please make sure you read the following details carefully before making any applications. **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...Contract workWork experience placementRemote workWork from homeFlexible hoursNorthwestern Mutual
United States4 days ago- As an Assistant Project Manager, you will play a pivotal role in supporting the successful execution of various projects within our organization. Working closely with project managers and team members, you will contribute to the planning, coordination, and implementation...
Finra Regulation, Inc
Washington DC16 hours agonew $65k - $75k
...educating staff, and some travel is required. The ideal candidate has over 3 years of experience in financial services and must have FINRA Series 7. This position offers a competitive salary between $65,000 and $75,000 and eligibility for a discretionary bonus and...Work at officeRemote workCorebridge Financial
Manchester, NH2 days ago- ...as the primary contact during client onboarding and simplifying complex financial processes. The ideal candidate should hold active FINRA Series 7 and 63 licenses and have 1-3 years of financial services experience. This role offers a supportive work environment and a chance...
Vanguard Group
Scottsdale, AZ2 days ago $97.7k - $176.1k
...including maintenance of official records, electronic docket, databases, and OHO calendars. Partners with OHO's Technology Analyst and FINRA's Technology Department to troubleshoot systems problems with the processing of case-related data. Performs triage in OHO Docket...Full timeTemporary workWork at officeLocal areaImmediate startFINRA
Washington DC2 days ago- ...increasing subject matter expertise and independence.**Essential Job Functions:*** Assists in providing advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.* Assists in briefing...Full timeTemporary workWork at officeLocal areaImmediate start
Financial Industry Regulatory Authority , Inc.
Jersey City, NJ2 days ago - A financial regulatory organization is seeking an LMS Manager for the Continuing Education Marketplace. This hybrid role involves managing the LMS platform and executing content strategies for e-learning courses. The ideal candidate will have a Bachelor's Degree and at...
FINRA
Rockville, MD4 days ago $65k - $75k
A financial services company in the United States is seeking a Branch Office Examiner responsible for conducting comprehensive examinations of brokerage and investment advisory operations. Candidates should have 3+ years of financial services experience, particularly in...Work at officeRemote workCorebridge Financial
California, MO21 hours ago- ...prepare high-quality examination reports. This role requires 3+ years of experience in the financial services industry and mandatory FINRA Series 7 certification. The candidate must be detail-oriented and able to travel independently up to 50% of the time. Competitive...Work at officeRemote work
Corebridge Financial
Saint Paul, MN2 days ago - ...About FINRA FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-...Full timeContract workTemporary workLocal areaImmediate startDay shift
Financial Industry Regulatory Authority , Inc.
New York, NY2 days ago $95k - $115k
...Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us,...Full timeWork at officeFlexible hoursCetera Financial Group
Dallas, TX5 hours agonew
