FINRA Jobs in Chicago
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Search Results - FINRA Jobs in Chicago
TIAA-Chicago-
Years Preferred
FINRA Registrations
• SRC Indicator: Series 7; Series 63; Series 65; Series 66
Physical Requirements
• Physical Requirements: Sedentary Work
Career Level 6IC
Required Experience
• 2 years of experience in Securities sales within...
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RK Partners-Chicago-talentnest.com-
and follow-through.
• 1+ years of experience in financial services
• FINRA registered: 7/66 is a plus
Our Core Values
Growth Mindset:
You embrace learning, welcome feedback, and stay curious. You understand that skills are built over time—with persistence...
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Portage Point Partners-Chicago-appcast.io-
ability to develop new business across a network of corporate relationships, private equity sponsors, lawyers and/or lenders
• Maintains Series 79, 63 and 24 FINRA license or ability to obtain within 120 days of employment
• Experience with privately held...
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Chicago-icims.com-
and content-generation initiatives
Qualifications:
Minimum Requirements Include:
• Bachelor’s degree from an accredited institution required; Master’s level education preferred
• FINRA Series 7 and 63 licensing
• 8 or more years of experience working...
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Portage Point Partners-Chicago-appcast.io-
to work at client sites as needed
• 15 plus years of middle market investment banking experience
• Maintains Series 79, 63 and 24 FINRA license or ability to obtain within 120 days of employment
• Experience with privately held and sponsor‑backed...
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RK Partners-Chicago-talentnest.com-
Bachelor’s degree in finance, economics, accounting, financial planning, or related field
• FINRA Series 6 or 7 and Series 63 (required or obtainable within 6 months)
• Experience with Envestnet and custodial platforms strongly preferred
• Proven accuracy...
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Portage Point Partners-Chicago-appcast.io-
or Philadelphia
• Invested in a team-based culture, motivated to collaborate in office four days per week and willing to work at client sites as needed
• 15 plus years of middle market investment banking experience
• Maintains Series 79, 63 and 24 FINRA license...
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RK Partners-Chicago-talentnest.com-
in relevant conferences, home office learning opportunities, and technology additions & enhancements.
Required Qualifications:
• Bachelor’s Degree
• 2+ years of planning experience
• California Life & Health license
• FINRA Registration -Series 7, 66...
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Portage Point Partners-Chicago-appcast.io-
in the Business Services sector with demonstrated ability to develop new business across a network of corporate relationships, private equity sponsors, lawyers and / or lenders
• Maintains Series 79, 63 and 24 FINRA license or ability to obtain within 120 days...
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FutureSight-Chicago-workable.com-
officer, cites firm policy and SEC/FINRA regulations for every decision, and produces audit-ready evidence on demand — across marketing, communications, trading, policy, audit, and filings.
The platform is designed to operate alongside the systems...
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Chicago-icims.com-
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
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Chicago-corespaces.com-
and cross-functional interactions.
• FINRA Series 7 and Series 63 or 66 licenses preferred, or willingness and ability to obtain required licenses within a defined timeframe based on business needs.
Organizational Structure
Reports to: Manager, Wealth...
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Transamerica-Richmond, 619 mi from Chicago-
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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Chicago-tiptopjob.com-
management, colleagues and peers; can influence outcomes without directing or commanding
• 4 Year/Bachelors degree or equivalent work experience (4 years of experience in lieu of Bachelors)
• Ability to travel up to 40
Nice:to:haves:
• Currently active FINRA...
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Chicago-icims.com-
Wealth lines of business
• Investments and suitability analysis
• Advisor compensation, referrals, conflicts and disclosure requirements
• Experience with regulatory exams (OCC, SEC, FINRA and state)
• Wealth applicable certifications such as the CRCP...
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