Average salary: $74,295 /yearly

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  • Client Transfer Specialist FINRA Licensed

    $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

    Vanguard Group

    Charlotte, NC
    22 hours ago

  • Manager Licensing Support

     ...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... 
    Suggested
    Work at office

    HealthPlanOne

    Shelton, CT
    a month ago

  • Client Service Excellence Representative (FINRA Licensed)

    $52k - $58k

     ...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! About this Job: At Vanguard, we have a client-first mentality that we live and breathe every day through our mission, to take... 
    Suggested
    Remote work

    Vanguard

    Columbus, OH
    3 days ago

  • Lead Full-Stack GenAI Platform Software Engineer

    $128k - $242.6k

     ...and lead or co-lead internal process improvement initiatives Provide feedback on processes by offering suggestions in line with FINRA's values of collaboration, expertise, innovation, and responsibility Product & Stakeholder Collaboration Work on complex... 
    Suggested
    For contractors
    Work experience placement
    For subcontractor
    Work at office
    Local area

    FINRA

    McLean, VA
    2 days ago

  • Office Manager, Corporate OGC & Ethics Compliance

    $33.9 - $60 per hour

    A financial regulatory organization in Washington, DC is seeking an experienced Office Manager for the Corporate OGC and Ethics and Compliance Office. The ideal candidate will possess strong operational and administrative support skills, with at least 5 years of experience...
    Suggested
    Hourly pay
    Work at office

    FINRA

    Washington DC
    3 days ago

  • Machine Learning Senior Software Engineer (AWS, LLMs, Python)

    $109.6k - $206.2k

     ...or manager in that state. Candidates can expect salary offers that range from the minimum to the mid?point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA. #LI?Hybrid Application Information... 
    Suggested
    Full time
    For contractors
    Work experience placement
    For subcontractor
    Work at office
    Local area
    Immediate start

    FINRA

    McLean, VA
    1 day ago

  • Paralegal, Litigation

    $33.9 per hour

     ...Paralegal in the Litigation group of the Offices of the Chief Legal Officer assists in responding to information requests received by FINRA, its officers, and its employees, including third-party subpoenas issued in arbitration proceedings, and civil and criminal... 
    Suggested
    Hourly pay
    Full time
    Temporary work
    For contractors
    For subcontractor
    Work at office
    Local area
    Immediate start

    FINRA

    Rockville, MD
    2 days ago

  • Deputy Corporate Secretary Head of Subsidiary Governance

    $200k - $230k

     ...Directors and senior management, ensuring compliance with applicable corporate and other applicable law (including life insurance, FINRA, Trust Company and other regulatory requirements).* Execute corporate-related transactions, such as legal entity organizations/dispositions... 
    Suggested
    Local area
    Immediate start

    Corebridge Financial, Inc.

    Jersey City, NJ
    22 hours ago

  • FINRA (6/63 or 7/63) Customer Service Representative - REMOTE Nationwide

    $21.35 - $32.02 per hour

     ...li/ulpThis position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 6 - FINRA, SIE - FINRA/ppCompensation Range:/ppPay Range - Start: $21.35/ppPay Range - End: $32.02/ppGeographic Specific Pay... 
    Suggested
    Remote work
    Shift work

    Northwestern Mutual

    United States
    14 hours ago

  • Office Manager, Corporate OGC and Ethics and Compliance Office

    $33.9 per hour

     ...requested). Assists with managing operations of the offices, ensuring seamless coordination across business units and with other FINRA departments. Leverages systems and technology to increase efficiency and productivity of the offices, as well as simplifying processes... 
    Suggested
    Hourly pay
    Full time
    For contractors
    For subcontractor
    Work at office
    Local area
    Immediate start

    FINRA

    Rockville, MD
    22 hours ago

  • Senior Software Engineer - Enterprise Regulatory Reporting

     ...data for securities retrieved from sources. We develop solutions for reporting to various regulations globally like Mifid2, Swiss, FINRA, IIROC and MSRB. Our focus is ensuring correctness, accuracy and timeliness while servicing clients regulatory needs and volume throughput... 
    Suggested
    Work experience placement

    Bloomberg

    New York, NY
    2 days ago

  • Machine Learning Senior Software Engineer (AWS, LLMs, Python)

     ...office or manager in that state.Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.#LI-Hybrid**To be considered for... 
    Suggested
    Full time
    Temporary work
    Work experience placement
    Work at office
    Local area
    Immediate start

    Financial Industry Regulatory Authority , Inc.

    Rockville, MD
    2 days ago

  • Ultra High Net Worth Client Case Representative, Senior Associate

    $84k - $92k

     ...client service experience preferred. Undergraduate degree or equivalent combination of training and experience. Active SIE and FINRA Series 7 license, and either the Series 66 or the ability to obtain the Series 66 within 90 days of joining. Ability to build... 
    Suggested
    Hourly pay
    Work experience placement

    Vanguard Group

    Scottsdale, AZ
    1 day ago

  • Financial Consultant II

    $37.19 - $46.88 per hour

     ...operational standards. Understand and adhere to all internal written supervisory principals Comply with all NYS Insurance Department FINRA, SEC, standards and regulations Timely completion of all required regulatory continuing education Proficiency with all... 
    Suggested
    Monday to Friday
    Flexible hours

    ESL Federal Credit Union

    Rochester, NY
    3 days ago

  • Financial Advisor

    $45k - $100k

     ...(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty... 
    Suggested
    Traineeship
    Work at office
    Local area
    Work from home
    Home office
    Flexible hours

    Edward Jones

    Hermosa Beach, CA
    2 days ago

  • Financial Crimes Investigator

    $76k - $96k

     ...Sanctions, Bribery/Corruption, Due Diligence, etc) ~ Knowledgeable about relevant US financial regulations authorities (ex: FinCEN, FINRA, OFAC, etc.) ~ Technical aptitude in understanding complex money movement across payment methods and rails ~ Familiarity with... 
    Work at office
    Remote work
    Work from home
    Flexible hours
    3 days per week

    Brex

    Salt Lake City, UT
    1 day ago

  • Business Unit Risk Specialist - FINRA - New York, Atlanta, or Charlotte

    $105k - $135k

     ...1st shift (United States of America) Please review the following job description: The Business Unit Risk Advisor Specialist II-FINRA engages with the Investment Banking and Capital Markets Business Unit stakeholders to support The Business Unit Risk Advisor Specialist... 
    Full time
    Part time
    Work experience placement
    Work at office
    Shift work
    Night shift
    Day shift

    Truist Inc

    Atlanta, GA
    2 days ago

  • Senior Risk Advisory Manager Public Finance / Municipal Securities - FINRA

    $140k - $200k

     ...overnight Preferred Qualifications: Master's degree in finance or equivalent science/academic field. Strongly preferred: FINRA Series 7, 52, 53 Strong knowledge of trading floor rules and regulations, order management systems, transaction execution workflows... 
    Full time
    Part time
    Work at office
    Shift work
    Night shift
    Day shift

    Truist Inc

    Atlanta, GA
    1 day ago

  • FHNF ACCOUNTING MGR SR

     ...Department staff and other FHN Financial employees to manage the company's financial reporting processes and ensure compliance with SEC and FINRA regulations. This position is responsible for directing core day-to-day accounting, internal control, and reporting functions for... 
    Work at office
    Home office

    First Horizon

    Memphis, TN
    2 days ago

  • Enterprise Account Executive

    $250k

     ...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... 

    AgentSync

    Denver, CO
    1 day ago

  • Lead Analyst, Personal Trading & Compliance

    $96.1k - $135.7k

     ...trading activity, manage oversight of outside accounts, and provide expert guidance that helps the business stay aligned with SEC, FINRA, and state regulatory expectations. Your work strengthens Empower's culture of integrity, ensuring employees meet the highest ethical... 
    16 hours
    Temporary work
    Work experience placement
    Casual work
    Work at office
    Local area
    Remote work
    Work from home
    Work visa
    Flexible hours

    Empower Retirement

    Greenwood Village, CO
    1 day ago

  • Financial Advisor

    $100k - $150k

     ...trends, and regulatory changes; educate and communicate with clients to keep them informed\n \nQualifications:\n\n \n\t Active FINRA Series 7 license \n\t Active FINRA Series 66 license \n \n\n \n\t Strong client-facing financial services or advisory experience... 
    Temporary work
    Local area
    Immediate start

    Kelly Services

    Hagerstown, MD
    2 days ago

  • Environmental Services - Manager in Training

    Overview: Who We Are Healthcare Services Group (HCSG) is an experienced partner managing housekeeping, laundry, dining, and nutritional services within the healthcare market. For over 45 years, we have provided essential services to thousands of healthcare communities...
    Live in
    Live out
    Local area

    Healthcare Services Group

    Selma, AL
    14 hours ago

  • Dining Services - Manager in Training

    $25 - $28.84 per hour

    divh2Dining Services Manager In Training/h2pOverview: Healthcare Services Group (HCSG) is an experienced partner managing housekeeping, laundry, dining, and nutritional services within the healthcare market. For over 45 years, we have provided essential services to thousands...
    Live in
    Live out
    Local area

    New Jersey Staffing

    Moorestown, NJ
    3 days ago

  • District Manager in Training - Environmental Services

    Overview Who We Are Healthcare Services Group (HCSG) is an experienced partner managing housekeeping, laundry, dining, and nutritional services within the healthcare market. For over 45 years, we have provided essential services to thousands of healthcare communities...
    Full time
    Live in
    Live out
    Local area
    Relocation
    Shift work
    Day shift

    Healthcare Services Group

    Dubuque, IA
    1 day ago

  • Full Stack Software Engineer (AI, ML, and Data Science)

    $100k - $120k

    WHO WE ARE Consumer Reports is an independent, nonprofit organization dedicated to a fair and just marketplace for all. CR is known for our rigorous testing and trusted ratings on thousands of products and services. We report extensively on consumer trends and challenges...
    Full time
    Work at office
    Local area
    Relocation package

    Consumer Reports

    Yonkers, NY
    14 hours ago

  • CW Processor

    $15 per hour

    Job Description PHEAA is a nonprofit student aid organization that holds a mission of providing affordable access to higher education. Give back tomorrow by joining us today! PHEAA is looking for results-oriented and detailed-focused individuals to join our ...
    Full time
    Remote work
    Monday to Friday
    Shift work

    Pheaa

    Harrisburg, PA
    2 days ago

  • Wealth Management Director of Operations

    $100k - $130k

    Job Description Job Description Job Title : Wealth Management Firm Director of Operations   Company Overview: WealthBuilders Investments is a growing full-service SEC registered investment advisor (RIA). The company offers holistic planning and investment management...
    Full time
    Work experience placement
    Monday to Friday

    WealthBuilders Investments

    Englewood, CO
    a month ago

  • Development Database Administrator

    $75k - $100k

    JOB DESCRIPTION Development Database Administrator Location: New York, NY New York Common Pantry is one of the city’s largest hunger relief organizations, providing food assistance, case management services, senior food provision, nutrition education, and hygiene services...
    Full time
    Contract work
    Local area

    New York Common Pantry

    New York, NY
    2 days ago

  • Financial Customer Associate - Bilingual - Albuquerque

     ...investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain... 
    Hourly pay
    Full time
    Work at office
    Monday to Friday
    Shift work

    Fidelity Investments

    Sandia Park, NM
    29 days ago