FINRA Jobs
1 - 15 of 933
Search Results - FINRA Jobs
Savvly-United States-
the Role:
We are seeking an experienced independent General Securities Principal (Series 24) to serve as an external consulting principal for the introductory broker dealer we are establishing. In this fractional role, you will help satisfy FINRA...
Read more
PNC Financial Services Group-Broomfield-
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.
/n
/n
California Residents /n
/n
Refer to the California Consumer Privacy Act Privacy...
Read more
Edward Jones-Davis (CA)-
with certain specified criminal history as set forth in 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...
Read more
2 similar jobs: Luverne, Rochester
FINRA-Rockville (MD)-
the organization.
• Leads business engagement activities including soliciting use cases, user feedback, training, etc.
• Contribute to the development and enhancement of FINRA's cross-market surveillance program.
• Work across delivery teams to deliver analytics...
Read more
Edward Jones-Oceanside-
with certain specified criminal history as set forth in 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...
Read more
FINRA-Rockville (MD)-
FINRA annual goals, department goals and management requests.
• Direct and coordinate organization's financial and budget activities to fund operations, maximize investments, and increase efficiency for a project(s).
• Ensure technology best practices...
Read more
1 similar job: Mclean
FINRA-Washington-appcast.io-
FINRA is seeking a Vice President of Trading and Product Risk Intelligence to lead a team focused on identifying, analyzing, and predicting regulatory trends impacting member firms and markets. The role bridges technical expertise with strategic...
Read more
FINRA-Boca Raton-jobvertise.com-
Senior Principal Investigator, Crypto Asset Investigations Blockchain Technology This position serves as a FINRA expert, applying specialized knowledge of crypto assets, blockchains, smart contracts and other onchain technologies, and crypto...
Read more
Associate Staffing-Charlotte-
Who We Are
A Fortune 500 financial services corporation, with a heritage spanning nearly a century and a half, specializes in a comprehensive suite of investment, insurance, and retirement solutions. Catering to a diverse clientele that ranges from...
Read more
1 similar job: Des Moines
Osaic Institutions-Westminster-
Potential annual performance-based bonus for qualified FINRA-licensed candidates
About the Opportunity/n
We are seeking a motivated, highly organized, and client-focused Sales Associate to work directly with an established Executive Financial Advisor...
Read more
Howard-Sloan Search-Chicago-
Supervising Principal to oversee operations & supervision on its institutional fixed income trading desk. This person will supervise daily trading activity, support compliance with SEC and FINRA regulations, and manage risk, working closely with traders, sales...
Read more
Equitable Advisors-Mundelein-
to work in the United States
/n
/n
Training & Development
/n
/n
• FINRA Sponsorship: provided for required FINRA licensing
/n
• Preliminary Employment Period (PEP): comprehensive 120-day hands-on training
/n
• Virtual University: access to Equitable...
Read more
Thrivent-Lake (IL)-
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 registration...
Read more
Equitable Advisors-Mundelein-
be authorized to work in the United States
/n
/n
/n
Training & Development
/n
/n
• FINRA Sponsorship: provided for required FINRA licensing
/n
• Preliminary Employment Period (PEP): comprehensive 120-day hands-on training
/n
• Virtual University: access...
Read more
PNC Financial Services Group-Sterling Heights-
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.
California Residents
Refer to the California Consumer Privacy Act Privacy Notice to gain...
Read more
7 similar jobs: Raleigh, Columbia, Gilbert, Lancaster, Tucson...
12345678910
Don’t miss out on new job openings!
Create a job alert for: FINRA
It's free, and you can cancel email updates at any time
12345678910