Finra jobs
Subscribe to RSS Feed| Posted | Job Title | Company | Location |
|---|---|---|---|
|
More Job Postings from the Web
|
|||
| Dec 18 | Compliance Examiner | Boca Raton, FL | |
|
FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The Financial ... registered securities representatives. FINRA has approximately 3,000 employees and... more |
|||
| Dec 18 | Independent Mutual Fund Wholesaler | San Francisco, CA | |
|
- B.A./B.S. or equivalent experience. - Finra Series 6 or 7 licenses. NASD Series 65/66 must be passed within 60 days of employment. - Financial services experience, ideally in... more |
|||
| Dec 18 | Independent Mutual Fund Wholesaler | Phoenix, AZ | |
|
- B.A./B.S. or equivalent experience. - Finra Series 6 or 7 licenses. NASD Series 65/66 must be passed within 60 days of employment. - Financial services experience, ideally in... more |
|||
| Dec 18 | General Manager of Public Relations | New York, NY | |
|
ollow through. The ability to interact well with association at all levels. The ability to manage multiple projects and shifting deadlines. FINRA Series 7 License preferred but... more |
|||
| Dec 18 | Director, Product Services | Russell Investments | Tacoma, WA |
|
* FINRA, Series 7, 24, 63/67 required. * Completion of or progress towards CFA, CIMA, CFP preferred. * 10+ years experience managing a team responsible for the entire product... more |
|||
| Dec 18 | Trading Floor Advisory (Compliance Fixed Income) | Deutsche Bank | New York, NY |
|
experience Strong knowledge of applicable FINRA, MSRB, NYSE and federal securities laws, rules and regulations Excellent oral and written communication skills Ability to make,... more |
|||
| Dec 18 | Branch Financial Advisor - North Philadelphia (Landsdowne, Springfield, Haverford Branches) | Pnc | Philadelphia, PA |
|
financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Trailing 12 production of $250,000. * Life... more |
|||
| Dec 18 | Branch Financial Advisor - Washington Township/Fries Mill | Pnc | Washington Township, NJ |
|
financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more |
|||
| Dec 18 | Branch Financial Advisor (Frederick, MD - Riverside, Walkersville, Libertytown) | Pnc | Walkersville, MD |
|
financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more |
|||
| Dec 17 | Compliance Officer - Part-Time - Permanent - Licensed Series 7 and 63 | Adecco | New York, NY |
|
working within compliance function of a FINRA and/or SEC regulated institution. Strong preference also for knowledge of structure of Investment Advisor and BrokerDealer... more |
|||
| Dec 17 | AVP- Balance Sheet Analysis and Reporting | Ashton Lane Group | New York, NY |
|
Regulatory team on required disclosures for FINRA and FOCUS reporting. ? Ad Hoc analysis as required by management. Requirements: ? 5 to 7 years of financial services industry... more |
|||
| Dec 17 | Broker Dealer Attorney | Robert Half Legal | New York, NY |
|
Admission, FINRA or Securities Industry regulatory/compliance experience Please send ... : Attorney with FINRA experience or with broker dealer... more |
|||
Finra Jobs powered by SimplyHired
