FINRA Jobs in Miami
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Search Results - FINRA Jobs in Miami
Fidelity Investments-Miami
FINRA Series 7 & 66 licensed and hold appropriate state registrations, OR ability to acquire Series 66 upon hire
• Keen ability to present complex solutions to a knowledgeable client base while building rapport and credibility
• Degree and/or other...
USAA-Miami
to acquire within 90 days of hire.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (or 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory requirements...
Fidelity Investments-Miami
resolution to the client or secure additional information to close out the request
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Category:
Customer Service
Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week...
FinTrust Connect-Miami
Growth: Exposure to complex client structures, trusts, estate workflows, and select insurance coordination. You will build rare family office level pattern recognition and become more valuable every quarter.
Requirements:
• Active FINRA Series 66...
Creand Wealth Management (Beta Capital)-Miami
following the rules of our regulators (FINRA, The SEC and Auditing). You will participate in the development of challenging new processes and the implementation of amending present processes.
MAIN RESPONSIBILITIES
• Open and maintain Brokerage accounts...
Miami Beach (FL)
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...
icims.com -
FinTrust Connect-Miami
to complex client structures, trusts, estate workflows, and select insurance coordination. You will build rare family office level pattern recognition and become more valuable every quarter.
Requirements:
• Active FINRA Series 66 license
• Ability...
Miami
and client events, and assists with the day‑to‑day operations of the advisory team. The role requires a solid understanding of firm policies, procedures, platforms, and digital tools, and requires FINRA licenses such as Series 7 and 66 (or 63/65...
icims.com -
Aprende Institute-Miami
demostrable en:
• Mercado financiero de EE. UU.
• Diferencias entre acciones, ETFs e índices.
• Brokers regulados (SEC, FINRA, SIPC).
• Apertura de cuentas con SSN o ITIN.
• Tipos de órdenes (market, limit).
• ETFs populares (S&P 500, bonos, dividendos...
careers-page.com -
Miami
g, data analysis & VBA automation. Will spnsr for FINRA Series SIE, 7, 57, 66 if not already licensed. Res: BTG Pactual US Capital LLC,...
jobvertise.com -
FinTrust Connect-Miami
maintenance, RIA administration, and documentation hygiene.
Requirements:
• Active FINRA Series 7 and 66 license
• Ability to execute trades with speed and accuracy
• 5+ years of wealth management client service and operations experience supporting advisors...
careers-page.com -
Platinum Legal Search Group, LLC-Miami
Regulatory enforcement (SEC, DOJ, FINRA, CFTC, state AGs)
• Internal investigations and compliance matters
• Trade secrets, unfair competition, and business torts
• Appellate litigation and trial strategy
Who They’re Looking For
The firm is seeking partners...
Miami
from new and existing clients through account additions and cross-selling other products, including referrals of investment opportunities to a FINRA licensed advisor in OFS. Must comply with all related CIP and BSA/AML requirements; adhere to Bank...
icims.com -
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