Average salary: $86,812 /yearly
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$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...SuggestedWork at officeRemote workRelocationFlexible hoursAfternoon shiftEarly shift
$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- ...leadership and decisions will have significant impact on branch success, market growth and profitability.## ## Certifications:Series 07 - FINRA, Series 63 - FINRA## ## Category:## SalesMost roles at Fidelity are Hybrid, requiring associates to work onsite every other week (...SuggestedWork at officeLocal area
$52k - $58k
...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...SuggestedRemote workVanguard
Cincinnati, OH2 days ago- ...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
$18 - $20 per hour
...regulatory questions and related issues, etc. - Maintain data for the internal and external registration and disclosure systems, including FINRA WebCRD, IARD, NFA and NMLS - Lead from the front by contributing to the development and improvement of procedure, processes, and...SuggestedContract workTemporary workWork experience placementImmediate startTEKsystems
Cloud County, KS2 days ago- ...for new representatives and employees joining the broker-dealer. This individual will ensure all new hires meet regulatory, firm, and FINRA requirements and that all documentation is completed accurately and timely. The ideal candidate will be highly organized, detail-...SuggestedWork at office
Automatic Data Processing
Florham Park, NJ3 days 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...SuggestedWork at office3 days per week
HealthPlanOne
Shelton, CT20 hours ago $122.25k - $183.37k
...FINRA is seeking an experienced Senior Security Engineer to join our Security Operations team. This role is critical in implementing, deploying, and maintaining enterprise-level endpoint security solutions and security platforms across our organization. The ideal candidate...SuggestedFull timeTemporary workFor contractorsFor subcontractorLocal areaImmediate startFinancial Industry Regulatory Authority , Inc.
Rockville, MD15 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....SuggestedFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate startFinancial Industry Regulatory Authority , Inc.
Rockville, MD4 days ago- ...Location: New York/Hybrid or Remote About DV Securities: DV Securities is a registered broker-dealer and a member of both FINRA and FICC, with a core focus on fixed income markets. We are active participants in the U.S. Treasury and agency MBS repo markets,...SuggestedRemote workFlexible hours
DV Trading
New York, NY2 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 officeImmediate start
New York Life Iowa office
Dallas, TX15 hours agonew $160k
...responsive research for institutional clients. Supervisory Analysts (SAs) are considered principals of the equity research department under FINRA rules and are valued gatekeepers that ensure Truist Securities' research meets demanding internal standards. It is required to have...SuggestedFull timePart timeRemote workTruist Inc
Charlotte, NC2 days ago$70k - $90k
...IRA Account Specialist, FINRA Series 7 Foris Capital US LLC, a Crypto.com company, is seeking an experienced FINRA Series 7 Registered Representative with a focus on IRAs and retirement accounts to join our broker/dealer team. This position is responsible for handling...SuggestedRemote workNight shiftCrypto
Chicago, IL4 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. Mandatory...Work at officeRemote workWork from homeHome officeMonday to FridayShift work
Nashville Staffing
Nashville, TN3 days ago $65k - $95k
...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 eligible...Full timePart timeCurrently hiringWork at officeImmediate startNew York Life
Dallas, TX2 days ago$65k - $80k
...Client Transfer Specialist Are you a FINRA Series 7 and 63 licensed professional with a passion for building meaningful client relationships? Join our team as a Client Transfer Specialist for our Personal Investor clients at Vanguard. At Vanguard, we have a client-first...- ...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, IA2 days ago - ...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...
- ...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...
$35 per hour
..., where every interaction is an opportunity to make a difference. Foundever is hiring Brokerage Operations Service Specialists with FINRA licenses, including Series 7 and Series 63, to join one of the fastest-growing financial brands in the world! In this role, you'll assist...Local areaShift workAfternoon shift$61.53k
...reviews of books and records of Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA. Conduct interviews and client file reviews with representatives in field offices in accordance with firm policy and industry...Work at officeLocal areaHome office- ...complex regulatory regimes while leveraging AI agents to support client compliance programs. You will work on matters involving the SEC, FINRA, CFTC, and other regulatory frameworks that apply to financial services and capital markets clients. This role combines legal acumen...
$52k - $58k
...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$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...- ...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...
- ...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, PA3 days ago $67.17k - $83.96k
...for specific plan design and plan features. Maintain industry knowledge through continuing education programs required by their FINRA licenses in order to deliver onsite presentations on financial topics. Maintain onsite training measurement system in order to track...Part timeWork experience placementLocal areaFlexible hours- ...company products and processes financial transactions, they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses. Educates employees on account information, plan benefits, plan resources and tools such as Financial Wellness...Shift work
