FINRA Jobs in Massachusetts
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Search Results - FINRA Jobs in Massachusetts
BNY Mellon-Boston
in drafting, updating and applying policies and procedures for investment management and distribution functions, as well as providing support in connection with relevant registration/disclosure forms (e.g., Form ADV and Form BD), regulatory exams and FINRA...
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Fidelity TalentSource LLC-Boston
role in the SPS business, we also partner closely with other businesses across the Fidelity enterprise.
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Company Overview
Fidelity Investments is a privately held company with a mission...
mindmatch.ai -
Edward Jones-Wellesley Hills
experience in securities/financial services industry preferred
• Series 7 and Series 66 required; if not currently registered, registrations may be obtained at Edward Jones during the assigned study period
• FINRA registrations are required within three...
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Fidelity TalentSource LLC-Boston
and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. /u00A0Note, the application window closes when the position is filled or unposted.
Certifications:
Series 07 - FINRA
Company...
mindmatch.ai -
Mutual of Omaha-Braintree (MA)
to 65% within the city, 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...
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Fidelity TalentSource LLC-Boston
Job Description:
The Team
As a Compliance Director in Regulatory Management, we will expect you to have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on complex matters...
mindmatch.ai -
Fanning Personnel-Boston
and regulatory risk
• Manage, monitor, and enforce all compliance requirements and best practices to ensure effectiveness with a focus on continuous improvements.
• Act as the firm's appointed SEC and FINRA regulatory liaison, managing regulatory audits and exams...
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Crump Life Insurance Services-Boston
owned by the bank. Position will be remote but must reside in the Des Moine area. Active FINRA registration is a Must!
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which...
mindmatch.ai -
Bank of New York Mellon Corporation-Boston
and an advanced degree is preferred
• Finra series 7 and 63 are required. Finra series 3 is preferred.
• CIMA, CFA, CAIA a benefit but not required.
At BNY Mellon, our inclusive culture speaks for itself. Here’s a few of our awards:
• Fortune World’s Most...
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Waltham (MA)
for our advisors, their clients, our company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial...
icims.com -
New York Life-Dorchester (MA)
NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able to specialize and gain expertise...
talentnest.com -
5 similar jobs: Quincy, Lowell, Worcester, Randolph, Boston
Marsh McLennan-Boston
the Employee Retirement Income Security Act (ERISA), and/or the Investment Company Act.
What makes you stand out?
Familiarity with the Securities and Exchange Act and FINRA Rules and/or the Securities Act.
Experience with Commodity Exchange Act and NFA Rules...
jobvertise.com -
Commonwealth Financial Network LLC-Massachusetts
Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independen...
tiptopjob.com -
Waltham (MA)
build a better future for our advisors, their clients, our company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000...
icims.com -
New York Life-Dorchester (MA)
income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate...
talentnest.com -
5 similar jobs: Randolph, Boston, Quincy, Lowell, Worcester
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