Average salary: $42,870 /yearly
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- ...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
$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, OH3 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
$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, NC3 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 hours 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...SuggestedWork at officeRemote workWork from homeHome officeMonday to FridayShift work
Nashville Staffing
Nashville, TN4 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, NY3 days ago $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...SuggestedWork at officeLocal areaHome office$47k - $66.7k
...Financial Services Consultants who are ready to join our coalition of champions. This is a Financial Industry Regulatory Authority (FINRA) Registered role that is primarily responsible for taking inbound calls, providing individual participants with options for retirement...SuggestedHourly payWork experience placementWork at office$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...SuggestedRemote work- ...through Peachtree Private Credit Investors (PPCI) our exclusive broker-dealer for Peachtree Group's family of funds, which includes FINRA-registered representatives; Construction Project Management and Property Management. The Business Development Associate will join...SuggestedRemote work
$49.56k - $92.04k
...has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required forms. FINRA non-registered fingerprinted person WMC access person Primary duties and responsibilities include: Resolving a variety of investment...SuggestedWork at officeImmediate startHome office- ...preferred.* ## Prior insurance or investment wholesaling experience preferred.* ## Securities Industry Essentials (SIE) required.* ## FINRA Series 6 or 7, FINRA Series 63, State Insurance License required.Jackson is proud to be an equal opportunity workplace. The Company...SuggestedWork experience placementWork at officeRemote workHome office
- ...Considering an exciting new career as a professional trader? T3 Trading Group, LLC ( ) is a Registered SEC Broker-Dealer & Member of FINRA/SIPC. We are recruiting hardworking, entrepreneurial entry level-traders for remote positions in our nationwide Trading Group....SuggestedH1bWork at officeImmediate startRemote workVisa sponsorship
$100k
...with internal policies and procedures, and external regulations. Oversight activities include but are not limited to trade review, FINRA rule 3010 email review, advertising review, FA/client operational troubleshooting, new account and application review, annuity review...SuggestedWork experience placementWork at officeRemote workHome office- ...SEC-registered investment adviser and Jackson subsidiary.Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA.Jackson companies offer an outstanding benefits package including competitive pay, bonuses, comprehensive health insurance benefits,...Home office
- ...drafting documents, tracking compliance program performance, and assisting with case management. The environment is hybrid, necessitating both onsite and remote work. Excellent writing skills and proficiency in MS Office are essential for this position. #J-18808-Ljbffr FINRARemote work
- ...Investor Support Specialist MicroVentures is a FINRA regulated brokerage firm that helps retail investors gain access to private equity investments through primary, secondary and crowdfunding offerings. Founded in 2009, MicroVentures was one the financial industry's...Work from homeFlexible hours
$100k - $150k
Overview Salaried Financial Advisor / Retirement Plan Sales Consultant. Are you tired of commission only positions? You obtained your FINRA licenses and exhausted your network to sell insurance and investment products to family and friends. Are you looking to become a...Work at officeLocal areaWork from home- ...complex inquiries in a call center environment. Candidates must have a high school diploma, two years of customer service experience, and FINRA certification. This position offers standard working hours from Monday to Friday, 7:00 am to 8:00 pm CST. #J-18808-Ljbffr DXC...Remote jobMonday to Friday
- 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 all IRA‑related inquiries and transactions...Remote work
$201.2k - $335.3k
Corporate/Institutional Banking Managing Director (FINRA) page is loaded## Corporate/Institutional Banking Managing Director (FINRA)remote type: Hybrid Positionlocations: Cleveland, OHtime type: Full timeposted on: Posted Todayjob requisition id: R82404# **Overview:**Responsible...Remote work$50k - $80k
A financial services company is seeking a detail-oriented Licensing Associate to manage securities registrations and advisor licensing. This role involves guiding new advisors through licensing, maintaining compliance records, and supporting regulatory requirements. Ideal...Remote job- ...SEC-registered investment adviser and Jackson subsidiary.Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA.Jackson companies offer an outstanding benefits package including competitive pay, bonuses, comprehensive health insurance benefits,...Work experience placementHome office
$90k
...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 officeWork from homeWork visaShift work$139.7k - $232.9k
Corporate/Institutional Banking Vice President (FINRA) page is loaded## Corporate/Institutional Banking Vice President (FINRA)remote type: Hybrid Positionlocations: Cleveland, OHtime type: Full timeposted on: Posted Todayjob requisition id: R82407# **Overview:**Responsible...Remote work$47k - $66.7k
...hiring passionate, professional and caring Financial Services Consultants who are ready to join our coalition of champions. This is a FINRA Registered role primarily responsible for taking inbound calls and providing participants with options for retirement plans, after-...Work experience placementWork at office$68k - $127k
FINRA Series 6, 63, 65 or 7, 66 licenses required for this role as well as Arizona Life and Health license.The ideal candidate will have the following:* Strong presentation and communication skills for effective seminar delivery.* Excellent relationship-building abilities...Full timeTemporary workPart timeCasual workWork from homeHome office$70k - $90k
A brokerage firm is seeking a FINRA Series 7 Registered Representative to handle all IRA-related inquiries and transactions in Chicago. Responsibilities include processing IRA rollovers and contributions while ensuring compliance. The ideal candidate will have strong customer...Remote job$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...TraineeshipWork at officeLocal areaWork from homeHome officeFlexible hours
