Average salary: $67,785 /yearly
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$25 per hour
....3300 | 888.LUMSDEN | Fax: 716.856.2524 | ****@*****.*** Securities offered through Avantax Investment Services SM , Member FINRA , SIPC . Investment advisory services offered through Avantax Advisory Services SM . Insurance services offered through an Avantax affiliated...SuggestedHourly payFull timeSummer workInternshipImmediate startLumsden & McCormick LLP
Buffalo, NY1 day ago$200k
## Managing Director, ECM-Investment Banking (FINRA)-3Applylocations: Ridgewood, NJ - Northland Securities Office: Minneapolis, MN - Northland Securities Officetime type: Full timeposted on: Posted Todayjob requisition id: R-20260908**At Northland, our employees are the...SuggestedTemporary workFor contractorsWork at officeWork from home$70.5k - $81.5k
...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...SuggestedRemote workVanguard Group, Inc.
Miami, FL4 days ago$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...SuggestedRemote workVanguard
United States3 days ago- ...About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to maximize their performance in today’s financial markets. We trade the US Equity Markets only. Our proprietary...SuggestedBi-weekly payRemote work
Hold Brothers
New York, NY4 days ago - ...mutual funds, retirement planning, and college savings programs. The company operates as a registered Broker-Dealer and is a member of FINRA and SIPC. Based out of Lincoln, Nebraska, Allstate Financial Services is committed to delivering financial security and peace of...SuggestedFull timeWork experience placementWork from home
Allstate Financial Services, LLC
Cincinnati, OH19 hours ago - ...Command. ©2026 First Command Financial Services, Inc. is the parent company of First Command Brokerage Services, Inc. (Member SIPC , FINRA ), First Command Advisory Services, Inc., First Command Insurance Services, Inc. First Command does not discriminate in the...SuggestedHourly payTemporary workFor contractorsTraineeshipWork at officeLocal areaHome office
First Command Financial Services
Oklahoma City, OK4 days ago $26 - $28 per hour
...Pacific Life will pay you to get there. We're hiring Financial Customer Service Representatives in Omaha who don't yet have their FINRA licenses - and sponsoring them through the entire process. You'll earn your Securities Industry Essentials (SIE) and Series 6 within...SuggestedHourly payContract workWork at officeFlexible hours1 day per weekPacific Life
Omaha, NE4 days ago$45k - $100k
...will be required; if not currently registered, registrations may be obtained at Edward Jones during the assigned paid study period. FINRA registrations required within three months. State insurance licenses will be required. As an associate, you are required to...SuggestedTraineeshipWork at officeLocal areaWork from homeHome officeFlexible hoursEdward Jones
Los Altos, CA2 days ago- ...Monday - Friday; must be flexible in regard to overtime & shift worked, which may change based on business needs. • Must obtain FINRA (formerly NASD) Series 6 license within 90 days of hire • Outstanding customer service skills and dedication to providing exceptional...SuggestedContract workRemote workMonday to FridayFlexible hoursShift work
Futran Tech Solutions Pvt. Ltd.
United States19 hours ago $70k - $95k
...Remote Jobs is looking for FINRA Licensed Advisors to join their expanding team in the United States. This fully remote role offers a bi-weekly base salary plus bonuses, and allows experienced financial professionals to assist clients with their financial needs. Preferred...SuggestedRemote workRemote Jobs
New York, NY19 hours ago$89.36k
...compensation consultant specializes in helping Financial Advisors design incentive plans that attract top talent ensuring alliance with SEC, FINRA and state insurance regulations. This role requires balancing the talent demands of the financial advisors with complex governance,...SuggestedWork at officeHome officeFairygodboss
Milwaukee, WI19 hours ago$80k - $90k
...Regional Sales Manager Director Strategic Program Development - US Based Remote Senior Manager, Talent Acquisition- Houston, TX FINRA-LICENSED Investment Banker: Angel-Stage Capital Raise for PE Advisory Startup ($500K–$1M) Houston, TX $90,000.00-$90,000.00 2...SuggestedFull timeLocal areaRemote workWorldwideNew Era Technology company
Houston, TX2 days ago$200k - $250k
...join our Team – we look forward to receiving your application! 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 leading...SuggestedWork at officeLocal areaBerenberg
New York, NY1 day ago$77.58k - $96.98k
...presentation material. Assist in scheduling retirement seminars/one-on-one appointments. Maintain compliance with all firm and FINRA regulatory requirements. May provide guidance and training to more junior staff Additional responsibilities may be assigned...SuggestedPart timeWork experience placementLocal areaRemote workFlexible hoursVoya Financial
Los Angeles, CA3 days ago- ...innovation and collaboration. The firm is a registered broker-dealer with the U.S. Securities and Exchange Commission and a member of FINRA, SIPC, and NASDAQ. About the Role: Chardan is seeking an Associate General Counsel or Senior Counsel to join our legal team. This is...Contract workRemote workFlexible hours
Chardan
New York, NY2 days ago $230k - $280k
Crypto.com is seeking an experienced professional to oversee US Broker-Dealer compliance operations in Manchester, NH. The role involves managing compliance activities, preparing regulatory filings, and serving as the primary contact for audits. Candidates should have ...Remote workFlexible hoursCrypto
Manchester, NH9 hours agonew$180k - $200k
...Osaic is seeking a Litigation Attorney to handle a personal docket of FINRA arbitration claims and to assist with overall management and administration of legal claims and issues involving our 11,000 financial professionals. Location(s) 18700 N Hayden Rd, Suite 255, Scottsdale...Full timeWork at officeRemote workAdvisor Group
Scottsdale, AZ1 day ago- ...with modern DevOps practices, leveraging containerization technologies, cloud platforms (AWS & Azure), and AI-powered tools to ensure FINRA Infrastructure meets defined quality standards while driving operational excellence and innovation. Responsibilities :...Contract workWork experience placementRemote work
SGA
United States1 day ago $170k - $220k
...Description Our client is building the first AI-native compliance operating system for financial institutions, automating SEC and FINRA compliance workflows across communications, marketing, filings, and regulatory operations. Today, over 500 financial institutions...H1bWork at officeRemote workRecruiting from Scratch
New York, NY1 day ago- ...an independent contractor to BTIG LLC reporting to the Head of Equity Research and will review research reports for compliance with FINRA regulations and BTIG’s internal research style guidelines. The successful candidate will also communicate and work closely with the...Hourly payFull timeContract workFor contractorsFor subcontractorH1bWork at officeRemote work
BTIG
New York, NY4 days ago $300k
...Telecommuting &/or work from home may be permissible pursuant to company policies. When not telecommuting, must report to work site. FINRA license SIE, 63, & 79 req'd. In alternative, employer will accept Master's in above-mentioned fields & 7 yrs of exp in above-listed...Full timeRemote workWork from homeScotia Capital USA Inc.
Peck Slip, NY6 days ago$29 - $34 per hour
...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 hours- ...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....H1bWork at officeImmediate startRemote workVisa sponsorship
- FINRA Marketing Compliance Specialist job at Yrefy LLC. Phoenix, AZ. Position Title: FINRAMarketing Compliance Specialist Type: Hourly, Non-Exempt, Full-Time,In-Office, Non-Remote Supports the Investor Relations and RIA Channel teams and functions as a liaison with the...Hourly payFull timeTemporary workWork at officeImmediate startRemote workVisa sponsorshipFlexible hours
$175k - $225k
...join our Team - we look forward to receiving your application! 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 leading...Work at officeLocal area$75k - $85k
...Dealer or RIA environment. You will be responsible for reviewing advisor activities, investigating compliance issues, and assisting with audits. The position requires strong analytical and communication skills, along with necessary FINRA licenses. #J-18808-Ljbffr Mohr TalentRemote job$86.78k - $108.48k
...Sanctions, Bribery/Corruption, Due Diligence, etc) Knowledgeable about relevant US financial regulations authorities (e.g., FinCEN, FINRA, OFAC, etc.) Technical aptitude in understanding complex money movement across payment methods and rails. Familiarity with...Work at officeRemote workWork from homeFlexible hours- ...position involves working with multiple departments and clients, reviewing investment materials, and ensuring adherence to SEC and FINRA regulations. Applicants should have a Bachelor’s degree in finance, plus at least 3 years of related compliance experience. The role...Remote job
$86.53k - $101.8k
...require a more in-depth review. They will work closely with the Market Leaders and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance policies; acting as the primary compliance consultant/resource for the California Region within...Temporary workWork experience placementWork at officeRemote workFlexible hours3 days per week
