FINRA Jobs in White Plains (NY)
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Search Results - FINRA Jobs in White Plains (NY)
Phyton Talent Advisors-White Plains (NY)-
SIE) program, initiates all follow-on securities exams, and supports licensing incentive and mandate programs, helping new agents get licensed and onboarded on time while staying compliant with FINRA regulations and company requirements.
It is a high...
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White Plains (NY)-icims.com-
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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New York Life-White Plains (NY)-
our broker-dealer arm, 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...
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White Plains (NY)-statefarm.com-
credit check and background check are required for sponsorship of FINRA licensing.
• Employees must successfully obtain all other applicable licensing and certifications for role including, but not limited to, LTC Certification, Annuities Certification...
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Testing Site - JPMC-White Plains (NY)-appcast.io-
Advisor team
• Ability to travel 50% of the time
• A valid and active FINRA Series 7, 66 (or equivalent) is required
• A valid and active FINRA Series 9/10 (or equivalent) is required and must be obtained or retained within a 60 day condition of employment...
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Phyton Talent Advisors-White Plains (NY)-
and retakers.
• Coordinate examination registrations for Series 6, Series 7, Series 63, and Series 66, including retake registrations.
• Assist with examination scheduling, FINRA processes, and general licensing questions.
• Monitor candidate progress...
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Daley And Associates, LLC-White Plains (NY)-
degree required.
• 3 to 10 years of relevant client services/operations experience with a wealth management firm.
• FINRA SIE, Series 7, and Series 66 licenses required.
• Experience with Fidelity Wealthscape, Morningstar Direct, and FactSet is helpful...
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Arqfinance-New York, 25 mi from White Plains (NY)-appcast.io-
ARQ is seeking a Chief Compliance Officer to lead US investment compliance for its SEC-registered RIA and introducing broker-dealer. You will own the compliance program, oversee FINRA/NMA processes, and build supervisory controls for a self-directed...
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Jobot-New York, 25 mi from White Plains (NY)-appcast.io-
FINRA/SEC Partner - NYC
$500000 - $1000000 per year | New York, NY | On-site | Permanent
Confidential search for a FINRA/SEC Partner to join a well-established, entrepreneurial law firm in New York City.
A bit about us:
We are conducting...
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ARQ-New York, 25 mi from White Plains (NY)-appcast.io-
ARQ is seeking a Chief Compliance Officer to lead US investment compliance for our SEC-registered investment adviser and to act as proposed CCO for our FINRA broker‑dealer as part of the NMA and launch.
This hands‑on role oversees the RIA...
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