Average salary: $42,870 /yearly
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$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 through...SuggestedRemote workVanguard
Atlanta, GA2 days ago$62k - $84k
...role demands a Bachelor's degree and 2+ years of experience in financial services, with a focus on compliance functions related to FINRA and SEC regulations. Responsibilities include administering compliance programs, providing guidance on regulations, and improving compliance...SuggestedRemote workFlexible hoursPrincipal Financial Services, Inc.
Charlotte, NC4 days ago$155k - $175k
...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...SuggestedWork at officeRemote workWork visaAgentSync
Denver, CO2 days ago$57.26k
...Please make sure you read the following details carefully before making any applications. **Open to remote ** Series 6 FINRA License - REQUIRED About the job: The Life Claims & Annuity Sr. Specialist is responsible for assessing and making decisions on...SuggestedContract workWork experience placementRemote workWork from homeFlexible hoursNorthwestern Mutual
United States5 days ago- ...Yards, New York, NY 10001. PAS is a registered broker-dealer offering competitive investment products, as well as a registered investment advisor offering financial planning and investment advisory services. PAS is a member of FINRA and SIPC. 7192852.1 (Exp. 10/26)...SuggestedTemporary workPart timeWork experience placementHome office
DFW Wealth Strategies
Southlake, TX2 hours ago - ...prepare high-quality examination reports. This role requires 3+ years of experience in the financial services industry and mandatory FINRA Series 7 certification. The candidate must be detail-oriented and able to travel independently up to 50% of the time. Competitive...SuggestedWork at officeRemote work
Corebridge Financial
Saint Paul, MN2 days ago $65k - $75k
A financial services company in the United States is seeking a Branch Office Examiner responsible for conducting comprehensive examinations of brokerage and investment advisory operations. Candidates should have 3+ years of financial services experience, particularly in...SuggestedWork at officeRemote workCorebridge Financial
California, MO1 day ago$65k - $75k
...educating staff, and some travel is required. The ideal candidate has over 3 years of experience in financial services and must have FINRA Series 7. This position offers a competitive salary between $65,000 and $75,000 and eligibility for a discretionary bonus and...SuggestedWork at officeRemote workCorebridge Financial
Manchester, NH3 days ago$31.5 per hour
...Requirement: Series 7, 24 3+ years of prior financial services specifically with advertising/marketing compliance review experience applying FINRA 2210 to advisor created content Prior experience in a client-facing role – very comfortable on the phone and be able to explain the...SuggestedContract workRemote workYoh, A Day & Zimmermann Company
Fort Mill, York County, SC3 days ago$100.5k - $167.5k
...Advisory Consultant Do you have at least 7 years of consultative sales success in the financial services industry and your FINRA Series 7 and 66 (or both 63 and 65) licenses? Are you: (1) passionate about helping financial advisors better meet the wealth and investment...SuggestedWork from home3 days per weekLPL Financial
Fort Mill, York County, SC2 days ago- ...Full-Time | Financial Services | Sales & Growth Join SuccessTrader , a fast-growing division of Regal Securities, Inc. , a national FINRA-registered brokerage firm. We're looking for a driven, creative, and sales-focused pro to help us grow our active trading platform....SuggestedFull timeWork at officeRemote work
Regal Securities
Doral, FL3 days ago - ...specifically in compliance. This role involves significant travel and requires strong communication skills. Additionally, candidates must hold FINRA Series 7 certification, with Series 24 preferred. A comprehensive benefits package is offered, including health insurance and a...SuggestedWork at officeRemote work
Corebridge Financial
New York, NY3 days ago - ...requires 3+ years of experience in financial services advertising/marketing compliance review. Candidates should possess Series 7 and 24 licenses, along with a strong understanding of FINRA regulations. Benefits include medical, dental, and a 401K plan. #J-18808-Ljbffr...SuggestedContract workRemote work
Yoh
Fort Mill, York County, SC3 days ago $65k - $75k
...financial rules and regulations. Candidates should have at least 3 years of experience in the financial services industry and hold a FINRA Series 7 license. The position allows remote work, offering a salary range of $65,000 to $75,000 with additional competitive...SuggestedWork at officeRemote workCorebridge Financial
Chicago, IL2 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...SuggestedContract workRemote workFlexible hours
Chardan
New York, NY2 days ago $80k - $90k
...Communications 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 weeks...Full timeLocal areaRemote workWorldwideNew Era Technology company
Houston, TX3 days ago- ...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...Full timePart timeRemote work
- ...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 timeFor contractorsWork at officeRemote work
$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...Hourly payWork experience placementWork at office- ...Desk 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,...Remote workFlexible hours
$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 visaFlexible hoursShift work- ...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...TraineeshipWork at officeLocal areaWork from homeHome officeFlexible hours
$60k
...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 visaFlexible hours$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...Work at officeLocal area$70k - $99k
...fast-paced environment Ability to multi-task in various software applications and managing to deadlines What's nice to have: FINRA Series 65 or 66 licensing preferred (or ability to obtain within 90 days of employment) Strong proficiency with Microsoft suite of...Full timeHome officeFlexible hours$200k - $230k
...Apply now and join our Team we look forward to receiving your application! 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...Work at officeLocal area- ...that an exemption or grandfathering cannot be applied. Series 99 required , or ability to obtain within 120 days (as required by FINRA). Education: High School (HS) (Required) Work Experience: General Experience - 3 to 6 years Certifications: Travel:...Work experience placementWork at officeHome office
- ...Securities America, Inc. (Nikko US) is an SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB). These entities provide coordinated services to our corporate and...Work at officeLocal areaWork from home
- ...Securities America, Inc. is an SEC-registered, FRB-NY approved Primary Dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) trading securities and securities financing transactions (repurchase...Work experience placementWork at officeLocal areaWork from home
- ...in Ireland: Contact ****@*****.*** For roles based in Germany: Contact ****@*****.*** Fidelity Privacy policy Certifications: Series 07 - FINRA, Series 63 - FINRA Category: Customer Service, Relationship Management, Sales...Temporary workWork at officeRemote workWork from homeRelocation package
Fidelity Corp
Smithfield, RI5 days ago
