FINRA Jobs in San Francisco
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Search Results - FINRA Jobs in San Francisco
Fidelity Investments-San Francisco
FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire
• Keen ability to present complex solutions to a knowledgeable client base while building rapport and credibility...
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Charles Schwab-San Francisco
that successful candidates should have.
Highly Preferred Qualifications
• Wealth Management designation, e.g., Certified Wealth Strategist (CWS), CFA or CFP
• Bachelor’s degree
Required Qualifications: Must have:
• Active & valid FINRA Series 7 license- (may...
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Fidelity Investments-San Francisco
FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire
• Keen ability to present complex solutions to a knowledgeable client base while building rapport and credibility...
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MassMutual-San Francisco
and detailed communication. The team of about 20 associates, both FINRA-licensed and unlicensed, executes on daily back-office operations aimed at enhancing the advisor experience.
The Impact
The In Force team lead will deliver education and drive readiness...
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Fidelity Investments-San Francisco
FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire
• Keen ability to present complex solutions to a knowledgeable client base while building rapport and credibility...
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Platinum Legal Search Group, LLC-San Francisco
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...
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mindmatch.ai -
Fidelity Investments-San Francisco
FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire
• Keen ability to present complex solutions to a knowledgeable client base while building rapport and credibility...
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San Francisco
brokers and agents, and securities brokers (FINRA).
Although we would prefer that you have some experience in professional liability law, we are also interested in working with developing talented attorneys who come to us with excellent skills in any...
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icims.com -
Fidelity Investments-San Francisco
FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire
• Keen ability to present complex solutions to a knowledgeable client base while building rapport and credibility...
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Allocator One Group-San Francisco
are comfortable doing hands-on work (data entry, tracking, reconciliation) while also building systems.
Nice to Have
• FINRA Series 7 or Series 65 (not required, but valued).
• Prior multi-fund platform experience.
• CPA or accounting background is a plus...
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join.com -
FutureSight-San Francisco
FutureSight is hiring an experienced and visionary Founding CEO to lead the launch of a new AI Compliance venture serving SEC- and FINRA-regulated firms. Today, compliance teams at RIAs and broker-dealers spend countless hours manually reviewing...
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workable.com -
San Francisco
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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icims.com -
San Francisco
Products/Variable contracts Limited Representative (FINRA Series 6 or equivalent and FINRA Series 63).
• Resident Life and Health appointment must be attained.
Salary Range Information: This position offers a competitive compensation package consisting...
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principal.com -
Funtonetwork-San Francisco
for regulated clients (HIPAA, FINRA, SOC 2)
• Conduct post-test "Lessons Learned" workshops to refine recovery procedures
4. Incident Leadership & Recovery Execution
• Serve as Primary Recovery Commander during declared disasters
• Lead war room operations...
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careers-page.com -
San Francisco
or equivalent experience
• FINRA Series 6, 63, Life and Health Insurance licenses required; must obtain series 7 within 6 months of joining
• 5+ years of proven and progressive financial services and/or retail sales experience, or equivalent, including evidence...
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icims.com -
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