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Lenmar Consulting Inc.-Jersey City
commodities, and banking regulations, including the rules and regulations of the SEC (i.e., SEC Rule 15c3-5, SEC Rule 15a-6), CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US...
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Commonwealth Financial Network LLC-Cincinnati
dealer and investment adviser activities remain in compliance with applicable SEC, FINRA and state rules and regulations, including the requirements of the Investment Advisers Act, Securities Exchange Act, FINRA and state rules, as applicable...
Santander Holdings USA Inc-New York
Primarily responsible for executing compliance processes and controls for initiating, maintaining, and updating SEC, CFTC, FINRA, NFA related registrations and filings for the Firm and associated persons including Forms U4/U5, Form BD, Form BR, Form 7R...
Commonwealth Financial Network LLC-Cincinnati
and Knowledge
• Experience in a service-oriented environment is a plus
• FINRA Series 7 securities registration or a willingness to acquire it
• Experience working at a financial advisory firm or in the financial service industry preferred
Have we piqued your...
moomoo-Jersey City
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, ensuring...
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Commonwealth Financial Network LLC-Waltham (MA)
advisors
• Strong verbal and written communication skills
• Excellent listening and probing skills
• Strong time management and organizational skills
• Ability to excel in a team environment
• FINRA Series 7 securities registration preferred
• Experience...
moomoo-Jersey City
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, ensuring...
resume-library.com -
Financial Industry Regulatory Authority-New York
Council (NAC).Essential Job Functions:Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules...
16 similar jobs: Boca Raton, Jericho, Chicago, Woodbridge, Boston...
Yorkville Advisors-Mountainside
as a CCO for both a Broker-Dealer and Hedge Fund. Yorkville is currently registered as an RIA with the SEC and is in the process of setting up a Broker-Dealer which will be registered with FINRA. The CCO will be responsible for implementing a robust...
mindmatch.ai -
Wells Fargo-San Jose
or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education3+ years of management experienceUS only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10...
Watchdog Capital-Portsmouth (NH)
About the job
Watchdog Capital is seeking experienced FINRA Series 7 Registered Representatives to join our broker/dealer in order to grow the firm’s regulated securities business. As a member of this team, you will be the front line of the firm’s...
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Page Executive-New York
the business on 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934 and FINRA regulations.
• Assess and mitigate regulatory and reputational risks with respect to product offerings and financial technology services.
• Collaborate...
appcast.io -
New York Life Insurance Company-Downers Grove
insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring...
mindmatch.ai -
USAA-San Antonio
RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7, 66 (or 63 and 65), 24, and 51 (or 53), and/or attainment within 90 days of job entry.
• 6 or more years of related experience in financial services operations to include process improvement...
MUFG Bank, Ltd.-Jersey City
of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job...
1 similar job: Tempe
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