Average salary: $67,785 /yearly
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$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 homeFNBO
Ridgewood, NJ2 days ago$190k - $225k
...execution of the broker‑dealer’s comprehensive compliance program. This role plays a critical leadership function in ensuring adherence to FINRA rules, SEC regulations, and other applicable laws governing broker‑dealer activities, with particular emphasis on the distribution...SuggestedFull timeWork at officeRemote work$96.6k - $118.8k
...thrive. If you're looking for meaningful, mission-driven work that directly safeguards the financial well-being of everyday Americans, FINRA offers a career where your expertise truly matters.The OpportunityAre you a sharp analytical thinker who thrives on uncovering...SuggestedFull timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate startRemote workFlexible hours$225k - $288k
...regulatory, and execution issues that arise during transaction lifecyclesEnsure compliance with Securities and Exchange Commission (SEC), FINRA, and applicable cross-border regulatory requirements, and implement risk management practices across market, execution, and...SuggestedFull timeWork at officeLocal areaRemote workFlexible hours$200k - $250k
...and 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...SuggestedWork at officeLocal area- ...Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.Click...SuggestedWorldwideWeekend work
$175k - $210k
...provide management reporting and commentarySupport internal, external, and regulatory audits, including interactions with the SEC, FINRA, and CFTCAdminister regulatory capital and customer protection reporting processes, ensuring alignment between GAAP financials and regulatory...SuggestedWork at officeRemote work$180k - $260k
...compliance manuals to reflect current regulations and business practices. Regulatory relationships — Act as a primary liaison with FINRA, the SEC, and state regulators for your entity; manage exams, inquiries, and filings, and ensure timely, accurate responses....SuggestedRemote workFlexible hoursFrec Markets, Inc.
New York, NY4 days ago$35 - $50 per hour
Licensed Esthetician – West Valley City, UT Last updated: 22 hours ago – Full-time Licensed Architect / Project Architect Competitive Compensation + Full Benefits. Are you a Licensed Architect looking for an opportunity where you can take ownership of projects, influence...SuggestedHourly payFull timePart timeImmediate startRemote workVanguard
Salt Lake City, UT13 hours 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
Mountain Mesa, CA3 days 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
Reno, NV13 hours ago - ...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...SuggestedFull timeWork at officeRemote workRelocationFlexible hoursAfternoon shiftEarly shift
Capital City Bank
Spring Hill, FL1 day ago - ...Leading a team of Workplace Planning Consultants, the full-time remote FINRA Licensed Senior Manager will oversee the delivery of entry-level advice and education to participants, ensuring effective onboarding and consistent advice quality while fostering individual growth...SuggestedFull timeRemote work
Virtual Vocations Inc
United States3 days ago $70.5k - $81.5k
...-related needs while upholding a client-first mindset designed to support investors at every life moment. Licensing requires active FINRA Series 7 and Series 63. The package includes a licensing bonus, milestone rewards, and a total first-year compensation range of $70,...SuggestedRemote workVanguard
Concord, NH2 days ago$55k - $85k
...financial industry to safeguard sensitive client information. Complete all mandatory training and continuing education required by FINRA We provide a total rewards package focused on your health, family, and financial security. This includes comprehensive medical,...SuggestedWork at officeRemote workShift workVision Financial Group Inc
Fairfield, IA1 day ago- ...supports the Legal & Compliance Team and requires handling SEC filings via EDGAR Next, state insurance product filings via SERFF, and FINRA rules. Key Responsibilities Manage the processes associated with drafting, updating, and filing various insurance product documents...Work at officeFlexible hours
Venerable
Malvern, PA2 days ago $21.35 per hour
...FINRA (6/63 or 7/63) Customer Service Representative - REMOTE Nationwide Last week to apply Full Time Job Description Primary Duties and Responsibilities Delivers a personalized and remarkable experience for our clients by answering questions, providing...Full timeRemote workFlexible hoursShift workNorthwestern Mutual
Charlotte, NC3 days 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...Full timeLocal areaRemote workWorldwideNew Era Technology company
Houston, TX13 hours 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 registrations and sponsoring them through the entire process. You'll earn your Securities Industry Essentials (SIE) and Series 6 within...Hourly payContract workWork at officeFlexible hours1 day per weekPacific Life
Omaha, NE3 days ago$73.9k - $92.37k
...implementation of 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...Full timePart timeWork experience placementSecond jobWork at officeLocal areaRemote workFlexible hoursVoya Financial
Fresno, CA4 days ago$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...Hourly payFull timeInternshipImmediate startLumsden & McCormick LLP
Buffalo, NY1 day ago- ...Background (bonus) Military Background (bonus) Goal-Driven Willingness to Obtain State Insurance License Willingness to Obtain Series 6 or 7 Finra License College Degree (preferred, not required) If you're ready to unleash your competitive drive and embark on a career that...Work from homeFlexible hours
Glosson Region - Modern Woodmen of America
Bartow, FL1 day ago $108k - $135k
...PIMCO's Legal and Compliance Department. This role will support the broker-dealer compliance program of PIMCO Investments LLC ("PI"), a FINRA-registered broker-dealer and member firm. The Compliance Officer will serve as the primary subject matter expert for the...Work at officeShift workPIMCO
San Diego, CA1 day ago- ...Qualifications Passion for bettering members’ financial lives. Ability to obtain or already hold: an active life insurance license, FINRA securities registration (Securities Industry Essentials/SIE), Series 6 and/or 7 license, and Series 63 license, as required by state...Full timeLocal areaRemote work
Modern Woodmen
Stockbridge, GA4 days ago $60k - $100k
...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 Full-time agents and their dependents are immediately eligible...Full timePart timeWork at officeImmediate startNew York Life Insurance Company
Medford, NY13 hours ago$36k - $75k
...the required insurance licenses prior to starting the job, with up to two attempts allowed for the Life and Health exam. Pass the CRD/FINRA background check at hire and ongoing, with securities licensing required within 24 months of entry into the program. Be highly self-...TraineeshipHome officeMutual of Omaha
Austin, TX2 days ago$49.56k - $105.82k
...position 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 & Responsibilities Resolves a variety of investment operations...Work at officeImmediate startHome officeNorthwestern Mutual
Franklin, VA2 days ago- ...of absence or seasonal need increases, while leading with a client first mindset Required Qualifications: Currently holds FINRA Securities Industry Essentials (SIE), Series 7, and Series 66 (63 and 65 accepted in lieu of 66) If these licenses are not currently...Seasonal workWork at officeWork from homeShift workDay shift
Bank of America
Bloomfield Hills, MI3 days ago - ...Leading a sales team within a designated territory, the full-time FINRA Licensed Regional Consultant will collaborate with financial advisors to expand the distribution of investment solutions, while working remotely and traveling to advisor offices and industry events...Full timeRemote work
Virtual Vocations Inc
United States3 days ago - ...Section 3(a)(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: .Temporary workWork at officeRemote workWork from homeHome officeFlexible hours
Edward Jones
Saint Louis, MO3 days ago
