Search Results: 179 vacancies
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.
This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing...
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Local area
Immediate start
...FINRA's Initial Review Group (IRG) is the centralized unit for the intake, review, and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings...
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...To conduct risk-based examinations of FINRA member firms and registered representatives
Essential Job Functions:
* Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate...
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Full time
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...company products and processes financial transactions, they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses.
Job Responsibilities:
Educates employees on account information, plan benefits, plan resources and tools...
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Hourly pay
Shift work
Day shift
...role.
Requirements
Bachelor’s degree or equivalent experience. Military veterans are encouraged to apply.
Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting.
Satisfactory background check, fingerprinting and securities...
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Hourly pay
Flexible hours
...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...
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Local area
Remote job
Work from home
Home office
Flexible hours
$120k - $180k
...Executive level business acumen in the areas of business operations, industry practices and emerging trends.
~ Ability to obtain FINRA license Series 7, 66 (or 63 and 65), 24, 51 (or 53), if supporting retirement income.
~ May be required to have the ability to obtain...
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Full time
...obtained at Edward Jones during the assigned study period
At least 3-5 years of relevant experience in securities industry preferred
FINRA licenses required within three months. State insurance licenses required
As an associate, you are required to complete all...
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Full time
Local area
Remote job
Flexible hours
...- Executive level business acumen in the areas of business operations, industry practices and emerging trends.
- Ability to obtain FINRA license Series 7, 66 (or 63 and 65), 24, 51 (or 53), if supporting retirement income.
- May be required to have the ability to obtain...
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Holiday work
Full time
...designed to elevate your career. At PNC Investments, we are passionate about our values and helping our advisors build their future.
FINRA series 7 & 66 (or combination of series 63 / 65) and Life, Health & Accident Insurance are required
Job Description...
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Full time
Temporary work
Part time
Work experience placement
$28.65 - $44.27 per hour
...Diploma or General Equivalency Diploma required.
~ Active Group 1 Life & Health license
~ Active, in good standing, and maintained FINRA 7 license
~ Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license
~ Must be able to successfully pass...
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Full time
Relocation package
Flexible hours
...office software.
#LI-NC1
2023 First Command Financial Services, Inc. parent of First Command Brokerage Services, Inc (Member SIPC, FINRA), First Command Advisory Services, Inc., First Command Insurance Services, Inc. and First Command Bank. Securities products and...
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Full time
Work experience placement
Home office
...for appropriate insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities...
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Hourly pay
Holiday work
Full time
Traineeship
Home office
...Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.)
Obtain and hold State Life and Health license prior to hire.
Obtain and hold the FINRA SIE, Series 6 and Series 63 within one year of employment.
Position Demands
~ Access to an automobile and ability to maintain a...
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Local area
Night shift
Afternoon shift
Weekday work
...preferably in business.
~3+ years' experience in a Compliance and/or supervision role with a broker-dealer or investment adviser.
~ FINRA Series 7, required. Series 24 licenses preferred.
~ Knowledge of compliance and supervision surveillance issues.
~ Knowledge of...
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Home office
Currently hiring
...advisors. This position will assist in servicing a large client base that is continually growing. HilltopSecurities Inc., a member of the FINRA and SIPC, is a wholly owned subsidiary of Hilltop Holdings. HilltopSecurities Independent Network (HTIN) is a brokerage firm, which...
...roles related to: securities processing, brokerage operations, broker-dealer operations, equity trade lifecycle, corporate actions.
FINRA SIE and Series 99 Required within 6 months of hire; Series 7 License preferred.
Required Skills/Abilities
Ability to make...
Full time
Work experience placement
Immediate start
Work from home
...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...
Full time
Part time
Immediate start
Currently hiring
...regulatory functions for the Investment Services Division Broker/Dealer and Registered Investment Advisor operations as required by the SEC, FINRA and other regulatory agencies. Responsible for supervising the Investment Services accounting team, and interfacing with the senior...
...for appropriate insurance licenses within 14 days of entry into the job, max of 2 attempts at Life and Health exam. Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities...
Hourly pay
Holiday work
Full time
Traineeship
Home office
Relocation package
