FINRA Jobs in Chicago
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Search Results - FINRA Jobs in Chicago
Financial Industry Regulatory Authority-Chicago
FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional...
Fidelity TalentSource LLC-Chicago
FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We...
mindmatch.ai -
Financial Industry Regulatory Authority-Chicago
FINRA’s National Cause Program (NCP) is charged with the investigation of cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other...
Fidelity TalentSource LLC-Chicago
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Learn More:/u202F/u202F
Dynamic Working
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Certifications:
Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA
Company Overview
Fidelity...
mindmatch.ai -
Financial Industry Regulatory Authority-Chicago
The Principal Analyst of the Metrics and Reporting (“Metrics”) team in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing and maintaining...
Fidelity TalentSource LLC-Chicago
the client s needs, you will have a lasting impact on the client s financial future.
Please note this role requires in-person attendance in the assigned Branch location.
Certifications:
Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA
Company...
mindmatch.ai -
Fidelity Investments-Chicago
to help you and your family strike the right balance.
[Only include for RC8 locations]
Learn More: Dynamic Working
Certifications:
Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA
Company Overview
Fidelity Investments...
IQ-EQ-Chicago
bodies
• Lead mock regulatory exams;
as well as lead the team when providing clients SEC and FINRA exam support
• Train staff on firm processes, new regulations or takeaways from industry events
• Proactively provide practical, business friendly...
resume-library.com -
Mutual of Omaha-Chicago
to and from client sites.
• Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable). Registration as an Investment Advisor Representative (Series 65/66). Registration as a FINRA...
Cabrera Capital Markets, LLC-Chicago
in use of Bloomberg and Excel
SIE, FINRA series 7 and 63 licensures required (or within 90 days of hire)
Ability to work non-traditional work hours as needed and attend business related events
Benefits
Health Care Plan (Medical, Dental & Vision...
resume-library.com -
Mutual of Omaha-Chicago
to and from client sites.
• Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable). Registration as an Investment Advisor Representative (Series 65/66). Registration as a FINRA...
Cabrera Capital Markets, LLC-Chicago
suitable solutions to client questions and resolving problems in a timely manner
Attend various events to support clients
All other duties as assigned
Requirements
Must have Active FINRA Series 7 and 63 license
Minimum of 3 years of relevant Fixed...
resume-library.com -
Citigroup-Chicago
service orientationRequired FINRA licenses: S.I.E - 7, 66, 9 and 10Education:Bachelor's/University degree, Master's degree preferred-------------------------------------------------Job Family Group: Private Client Coverage...
Chicago
Are:
• Bachelor's degree or equivalent, plus at least ten years related experience in the institutional asset management industry
• FINRA 7 and 63
• Demonstrated expertise and deep understanding of the institutional asset management landscape
Skills That Will Help...
principal.com -
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