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by Bill Singer
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Written: February 28, 2012

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Featured Job Postings from the Web
Feb 28Compliance OfficerMichael Page InternationalNew York, NY

Experience with a securities regulator (FINRA, SEC) Series 7 registration a plus. What's on offer 35-40 hourly Michael Page Contact For further info, apply or phone on +1... more

Feb 28Regulatory CounselMichael Page InternationalNew York, NY

law school Good knowledge of applicable FINRA, MSRB, NYSE, CFTC and other federal securities and banking laws, rules and regulations Excellent oral and written communication... more

Feb 27Broker Dealer PrincipalMetLifeSomerset, NJ

degree or equivalent business experience. FINRA Series 7 & 24 licenses required.FINRA Series 51 or Series 53 preferred, or must obtain within 90 days of hire date. 5+ years... more

Feb 27Major Accounts Sales Representative -Retirement Services JobADPChicago, IL

and close business. Required licensing: FINRA Series 6 and 63. - Strong organization, planning, and interpersonal skills. - Ability to work in a team environment. - Possess strong... more

Feb 27Director, Asst General Counsel - Consumer BanCaptial OneMclean, VA

banking and finance regulations, including FINRA and related regulations with respect to the sale of non-deposit investment products Preferred Requirements: - 6 - 10 years law... more

Feb 27Senior Fixed Income Analyst - Municipal Bonds JobAmeripriseBoston, MA

Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more

Feb 26FINRA AttorneyAccess StaffingNew York, NY

with securities regulator, particularly FINRA, would be a strong +. Experience with ... institutional markets. Thorough knowledge of FINRA rules applicable to introducing broker... more

Feb 26Senior Compliance Consultant (Policies & Training)MetLifeBoston, MA

departments, state securities divisions, FINRA, the SEC, and other regulatory bodies. ... experience. Bachelors degree required. FINRA Series 7 and 24 required or must be... more

Feb 26Exclusive Insurance Agent Business OpportunityKathy Ahern, East Zone Recruiter For Horace MannTorrington, CT

clusive Agencies are not franchises. Horace Mann registered representatives offer securities through Horace Mann Investors, Inc., Member FINRA, 1 Horace Mann Plaza, Springfield,... more

Feb 24Enforcement InvestigatorFinraWashington, DC

to the FINRA Careers site, enter into your browser to reach ... and Affirmative Action Employer 2011 FINRA. All rights reserved. FINRA is a... more

Feb 24Manager - Pre-Appointment (Ameriprise Advisor Center) JobAmeripriseLas Vegas, NV

to multi-task. Preferred Qualifications - FINRA Series 66 and State Insurance License. ... Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services... more

Feb 24Field Registered Principal JobAmeripriseLas Vegas, NV

manner; maintain records in accordance with FINRA, NYSE and other applicable regulations. ... experience as a registered principal. - FINRA Series 7, 24 licenses required. - FINRA... more

Feb 24Fixed Income Compliance OfficerNot DisclosedChicago, IL

blic Finance Activities and conduct reviews to test the adequacy and effectiveness of policies and procedures for compliance with SEC, FINRA and MSRB rules and regulations *... more

Feb 24Brokerage Operations Manager - Unionbanc Investment ServicesUnion BankLos Angeles, CA

and operational procedures, including FINRA supervisory tasks (Series 24). Ensure ... administrative and business operations FINRA Series 7, 63, 65 and 24 required,...more

Feb 24Operations Manager 3Wells FargoSt Louis, MO

the same or higher level. Preferred Skills FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more

Feb 24Operations Manager 2Wells FargoSt Louis, MO

workflow processes. Preferred Skills FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful...more

Feb 24Financial Advisor - New Advisor Program JobAmeripriseBrownstown Township, MI

Maintain all appropriate FINRA/other licenses and requirements up to date ... prioritization. - Ability to obtain required FINRA licenses within 90-120 day. JCODE:...more

Feb 24Client Services Trading Desk Representative - Brokerage Services - (Los Angeles)Union BankLos Angeles, CA

Requires FINRA licensed Series 7 / 63 in addition to two years brokerage experience and technical work related experience, such as typing skills, Word. College degree is...more

Feb 24Sr. Project ManagerMatlen Silver GroupScottsdale, AZ

development in a regulated environment (FINRA) Experience with GIPS performance reporting standards Familiar with portfolio analytics and modern portfolio theory Experience... more

Feb 23Personal Banker - Los Altos, CA (FINRA Licenses Series 6,63, Life and Health Preferred)ChaseLos Altos, CA

you may have the opportunity to obtain your FINRA Series 6, 63, and Life Insurance licenses. Plus, many successful Personal Bankers develop skills to move into roles such as... more

Feb 23Financial Consultant Partner Broker Beaumont, TX JobCapital OneBeaumont, TX

including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more

Feb 23Compliance & Administrative AssociateBrokerage FirmNew York, NY

instruction Open examination windows on FINRA Handle Employees Personal Trading ... and General Counsel with regulatory filings (FINRA, NYSE, SPRU and FinOP Assist General... more

Feb 22Financial Consultant II (Partner Broker) Garden City-Salisbury, NY JobCapital OneGarden City, NY

including but not limited to those of FINRA, the SEC and state insurance ... or equivalent Preferred Qualifications: - FINRA Series 7, 63 - State-approved Life and...more

Feb 22Agency Controls CoordinatorMetLifeRochester, NY

policies and procedures and all relevant FINRA, SEC, and State rules, laws and ... sales material correspondence. - Maintain FINRA books and records for the agency. -... more

Feb 22401(k) Sales Hunter!! (B2B)WilsonhcgColumbus, OH

Business Development-DM Required licensing: FINRA Series 6 and 63 Our client is a global, ... industry data Required licensing: FINRA Series 6 and 63. This person must have strong... more


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