Average salary: $67,785 /yearly
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$142.24k - $190k
...The organization operates through multiple entities, including an SEC-registered broker-dealer, MSRB-registered municipal advisor, FINRA-approved municipal advisor, and municipal securities broker-dealer, with FINRA/SIPC membership. These affiliated entities work in coordination...SuggestedWork experience placementWork at officeLocal areaRemote workFlexible hours$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, NJ13 hours 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$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$78.7k - $138.2k
...communications review.Key ResponsibilitiesAct as a subject matter expert in Broker-Dealer related sales and distribution rules and FINRA related regulations and provide general compliance support to the Intermediary and Institutional Distribution team.Establish and maintain...SuggestedFull timeWork experience placementH1bWork at officeWork from homeVisa sponsorship1 day per week$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 - $230k
...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- ...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...SuggestedFull timePart timeCurrently hiringWork at officeImmediate startRemote work
New York Life- Sugar Land
United States2 days ago $225k - $275k
...Europe, we have built a reputation for innovation, longevity, and consistent performance. Through regulated businesses that include a FINRA-registered broker-dealer, a self-clearing Chicago Mercantile Exchange member firm, and an AFM-licensed MiFID II investment firm,...SuggestedFull timeCasual workRemote workFlexible hoursGelber Group
Chicago, IL2 days 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...SuggestedWork from homeFlexible hours
Glosson Region - Modern Woodmen of America
Bartow, FL4 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
Juneau, AK3 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
Fountain Valley, CA2 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...SuggestedFull timeLocal areaRemote workWorldwideNew Era Technology company
Houston, TX3 days 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, FL4 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
Madison, WI5 days ago$27.58 per hour
*Description* Job Description: *Submit state registrations, FINRA exam requests, name changes and phone number updates for representatives *Follow up as needed for additional information from representatives *Navigate through RegEd, FINRA and online systems *...Contract workTemporary workTEKsystems
San Diego, CA3 days ago$120k - $155k
...Regulatory Interpretation and Application: Interpret and apply complex federal and state regulations, including SEC, DOL, ERISA, and FINRA requirements, across organizational operations and service lines. Ensure consistent alignment with fiduciary standards and legal...Contract workTemporary workLocal areaRemote workFlexible hoursHIS Envoys Group
Colorado Springs, CO2 days ago$70k - $90k
...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 workFlexible hoursNight shiftCrypto Pro Network
Chicago, IL13 hours 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 officeImmediate startHome officeFlexible hours
Edward Jones
Tempe, AZ5 days ago $21.35 per hour
...packages This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 6 - FINRA, SIE - FINRA Compensation Range: Pay Range - Start: $21.35 Pay Range - End: $32.02 Geographic...Remote workShift workNorthwestern Mutual
United States5 days ago- ...federally insured, and may fluctuate in value. Ameriprise Financial Services, LLC is a registered investment adviser and a member of FINRA and SIPC, providing regulated securities and advisory services. Role Description The Associate Financial Advisor role is a full-time...Full timeWork at officeWork from home
Ameriprise Financial Services, Inc.
Mercer Island, WA2 days ago - ...SEC-registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA. Benefits competitive pay bonuses comprehensive health insurance benefits a matching 401(k) retirement plan adoption assistance...Work at officeHome office
The Jackson National Life Insurance Company
Brooklyn, NY3 days ago - ...ventures and global capital markets in a fast-paced, entrepreneurial environment. Securities are offered through Umergence LLC, Member FINRA/SIPC, reinforcing the firm’s commitment to regulatory standards and professional conduct. Role Description The Marketing Intern role...Full timeInternshipRemote work
Baird Augustine
Los Gatos, CA5 days ago - ...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. Trading...H1bWork at officeRemote workVisa sponsorship
$31 - $37 per hour
...performing, fast-moving team with ethics at the center of everything we do. The Compliance Licensing & Registration team supports the FINRA Member entities under Robinhood Markets regarding firm and individual licensing & registration. The team is responsible for...Full timeWork at officeFlexible hoursShift work3 days per weekRobinhood
Remote13 hours ago$26 - $28 per hour
...will pay you to get there. We're gearing up to hire 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 week- ...-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...Full timeRemote work
Regal Securities, Inc.
Miami, FL9 days ago $100k - $200k
...Founded in 1984, Noble Capital Markets ( is a research driven boutique investment bank focused on emerging growth companies. As a FINRA and SEC licensed and registered broker-dealer Noble provides institutional-quality equity research, merchant and investment banking,...Work at officeRemote workNoble Capital Markets, Inc.
Boca Raton, FL15 days ago- ...withdrawals and transfers, and guiding them toward financial planning paths. Onboarding includes training and licensing. You will study for FINRA licenses (SIE, Series 7, Series 66) with full sponsorship, four days remote and one day on-site, then transition to a fully on-site...Remote job
- ...collaboration with the Chief Compliance Officer. The candidate will travel 80-90% across branches, supervising regulatory adherence and ensuring timely remediation. A FINRA Series 7/24 license and 3-5 years of related experience are required. #J-18808-Ljbffr Horace MannRemote job
