Search Results: 422 vacancies
...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
...acts as a lead, on applicable Governance Committees.
Cultivates strong working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.
Partner with external...
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Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...combination of education and professional work experience
Minimum of 1 year experience in sales, preferably inside sales
Current FINRA licenses and/or ability to successfully obtain FINRA 7 & 63 registrations within corporate-established timelines and complete FINRA...
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Holiday work
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Work experience placement
Casual work
Local area
Remote job
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...quotas
Experience in a consultative selling environment
Familiarity and comfortability operating in a longer-term sales cycle
FINRA Series 7 and 63 and a clean record with no disclosures, or a commitment to obtain licenses within the first few months of employment...
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Permanent employment
For contractors
...financial targets.
Who We Are :
Collaborate with experienced sales traders to gain knowledge in the role
Earn your FINRA licenses that will allow you to speak with clients
Build connections and relationships while working in the center of the financial...
Suggested
Local area
Flexible hours
...business.
Qualifying experience must include at least 1 year of experience in Client coverage.
Must have or be able to obtain FINRA licenses in Series 7, 63 and 79.
Up to 25% domestic and international travel required.
If you would like to apply to this...
Suggested
Full time
Bank staff
Monday to Friday
...reporting requirements, including filings with the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other regulatory bodies. Assisting with FOCUS filings.
# Internal Controls: Develop and maintain internal controls and...
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Local area
...We are seeking candidates with a positive winning attitude and a desire to continue along a sales career path. Eligible to sit for FINRA Series 7 & 63 licensing exams after 12-months of successful service.
Success in this role would be achieved by:
* Spearheading...
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Remote job
Work from home
...class and investment product liquidity to make decisions on trade timing, trading strategy, and exposure management. Licenses Required: FINRA Series 7, SIE and 63.
Salary Range: The expected annual base salary for this New York, New York, United States-based...
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Full time
Temporary work
Part time
Work experience placement
Offshore
...results of the quantitative analyses, with written summary and description of the work and findings and associated tables and figures. FINRA Series 3, Series 7, and Series 63 required within 6 months after joining. Domestic and international travel required up to 25% of...
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Full time
Temporary work
Part time
Day shift
...disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with...
Suggested
...functional projects
- Strong communication and presentation skills
- Familiarity with margin operations related to Regulation T, FINRA Rule 4210
- Prior experience in highly automated environments and process improvements
- Expertise in program documentation...
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Contract work
Local area
...platforms, valuation, and risk management infrastructure. Requires two (2) years of experience with: Bloomberg. Requires certifications: FINRA Series 7, 57, and 63, and NFA Series 3.
Qualified Applicants:
To apply, visit us at Scroll down and enter 3244101 as the "Job...
Suggested
Temporary work
...alignment with the Americans with Disabilities Act (ADA).
Essential Job Functions:
Serve as the primary subject matter expert at FINRA and act as the central point of contact for all ADA related escalations, review and implementation.
Manages strategic employee...
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Holiday work
Full time
Temporary work
For contractors
For subcontractor
Local area
Immediate start
...a solid Life Case Rate (specific to internal applicants) or Previous PF2 experience
Valid State Life and Health Licenses
FINRA Registrations - Series 6 & 63
Salary range: $60,000-$85,000
Overtime eligible: Exempt
Discretionary bonus eligible: No...
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Work experience placement
Local area
Remote job
Home office
...ability to perform under pressure in a fast-paced environment
Who we are:
Berenberg Capital Markets LLC (BCM) is a New York based FINRA member broker-dealer, and wholly owned independent subsidiary of Joh. Berenberg, Gossler & Co. KG (Berenberg), one of Europe's...
Local area
...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 time
Part time
Immediate start
...Review and track investor subscription paperwork
Ensure the marketing of private placement offering is in compliance with SEA and FINRA rules and regulations
Maintain records regarding information barriers and the handling of material, nonpublic information...
Monday to Friday
...global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Corporate Compliance, which...
Temporary work
Work experience placement
Flexible hours
...problem-solving skills; experienced with fixed income trading activities
~ Adept listening and analytical skills
~ Experience with FINRA and MSRB regulations and trade reporting requirements
~ Confident, self-starter who embraces change and enjoys working in a fast-...
2 days per week
