FINRA Jobs in Chicago
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Search Results - FINRA Jobs in Chicago
Phillip Capital Inc.Chicago
Job Description
We’re Hiring – Broker Dealer Operations Analyst
Location: Chicago, IL (Hybrid)
Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing Broker Dealer and the Commodity Futures Trading...
Taylor RootChicago
restrictive covenants, and policies/handbooks.
• Lead and support internal workplace investigations and manage pre-litigation matters.
• Advise on industry-specific regulatory issues including FINRA, broker‑dealer requirements, compensation structures...
Phillip Capital Inc.Chicago
Job Description
We’re Hiring – Risk Analyst
Location: Chicago, IL (Hybrid)
Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures Trading Commission (CFTC...
PNCChicagomindmatch.ai
to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit...
EdgeClearChicago
such as NFA, CFTC, FINRA, or SEC is a strong plus.
• Strong research, writing, and organizational skills with meticulous attention to detail.
• Clear communicator who can translate complex regulatory language into plain English for internal teams...
PNCChicagomindmatch.ai
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...
TIAAChicago
University (Degree) Preferred
Work Experience
• 5+ Years Required; 7+ Years Preferred
FINRA Registrations
• SRC Indicator: NRF
Physical Requirements
• Physical Requirements: Sedentary Work
Career Level
8IC
Required Qualifications:
• 5+ Years private...
Paul Murphy AssociatesChicago
related to SEC, FINRA, CFTC, NFA, etc.
• Strong communication skills with the ability to interact with both technical teams and end users/clients
• Experience with client onboarding, system configuration, or production support...
Portage Point PartnersChicagoappcast.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...
Phillip Capital Inc.Chicago
Job Description
We’re Hiring – Business Optimization Manager
Location: Chicago, IL (Hybrid)
Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures Trading...
Portage Point PartnersChicagoappcast.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...
RK PartnersChicagotalentnest.com
portfolio reviews.
Required Qualifications:
• Bachelor’s degree, and/or equivalent work experience with strong interest in financial markets is preferred
• FINRA Registration (Series 7, 63 or 66)
• 2+ years of Investment Operations experience...
Portage Point PartnersChicagoappcast.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...
Chicagoicims.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...
RK PartnersChicagotalentnest.com
additions & enhancements.
Required Qualifications:
• Bachelor’s Degree
• 2+ years of planning experience
• California Life & Health license
• FINRA Registration -Series 7, 66 and/or 65
Benefits:
We understand that our team members are the foundation...
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