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CDC Small Business Finance-San Diego
About the Organization
The Momentus Capital branded family of organizations - which includes Capital Impact Partners, CDC Small Business Finance and Momentus Securities (an SEC-registered broker-dealer, MSRB-registered municipal advisor, a FINRA...
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workable.com -
New York Life - Uniondale-Uniondale (NY)
and service issues as needed.
• Reach agreed-upon sales targets monthly.
Qualifications:
• Though not required, a valid FINRA Series 7 & 63/66 license is considered a plus
• Computer proficiency in Microsoft Office, CRM systems, financial planning software...
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Fidelity Investments-Midvale (UT)
activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories....
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6 similar jobs: Sandy, Murray, Valley, Bountiful, Riverton...
New York Life, Coelho Group — Bridgewater-Bridgewater (MA)
offer investment advisory services through Eagle 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...
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Fidelity Investments-Salt Lake City
activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories....
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7 similar jobs: South Jordan, Cottonwood Heights, Holladay, West Jordan, Draper...
Mutual of Omaha-Torrance
WHAT YOU’LL BRING:
• 5+ years of experience in a securities supervision, compliance, or related role within the financial services industry.
• Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability...
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Software Guidance & Assistance-Rockville (MD)
across on-premises data centers and cloud environments. This role combines traditional systems administration with modern DevOps practices, leveraging containerization technologies, cloud platforms (AWS & Azure), and AI-powered tools to ensure FINRA...
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Transamerica-Richmond
23. 9
million customers worldwide.* For more information, visit transamerica.com
[http://www.transamerica.com/].
Job Description Summary
Transamerica is excited to announce that we are expanding and looking for FINRA
Licensed Advisors to join our team...
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Cetera Financial Group, Inc.-Dallas
is responsible for coordinating all aspects of firm and branch level examinations by state or federal agencies, as well as industry regulators such as FINRA. They monitor and track findings through remediation and closure and serve as the primary liaison...
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Transamerica-Richmond
environmental, etc.); insurance principles including mortality, insurable interest and actuarial theory; compliance with insurance, privacy and FINRA regulations; reinsurance treaties, pool agreements, and auto-bind retention limits; and individual life...
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Cetera Financial Group, Inc.-Dallas
workflow management, issue tracking, data integrity, and reporting-enabling riskbased product decisions while ensuring alignment with regulatory expectations (e.g., FINRA, SEC) and internal policies.
What You Will Do:
• Operational Oversight & Execution...
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moomoo-Dallas
Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
• Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets...
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workable.com -
Houston
compliance interviews, as part of annual Financial Representative reviews.
• Maintain required books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA.
• Review and approve outside...
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icims.com -
New York Life-Rockwall
of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able to specialize and gain expertise in different areas...
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talentnest.com -
3 similar jobs: Flower Mound, Lewisville, Dallas
Des Moines
materials related to Principal’s products and services to ensure compliance with applicable industry rules (i.e., Insurance, FINRA, & SEC) and firm policies and procedures. The role can cover a range of product types including investment, retirement...
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principal.com -
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