Mar 06 | Customer (Investment) Service Rep I or II - Wealth Mgmt - Sourcing Req - Broker Service Center - FINRASeries 7 Required | JPMorgan Chase | Chicago, IL |
industry experience, a bachelors degree, and FINRA Series 7 and 63 licenses required (if you dont have either your 7 or 63, you will be required to obtain within 90 days of hire). more | |||
Mar 06 | Compliance Paralegal | Michael Page International | New York, NY |
various regulatory filings, including FINRA Form ADV's and SEC EDGAR filings. Respond to Know Your Client and due diligence requests from numerous third-party affiliates and... more | |||
Mar 05 | Central Supervision Registered Principal | Bank of America | Pennington, NJ |
Seeking Registered Principal familiar with FINRA advertising rules, which requires a ... communication skills. * Desired knowledge of FINRA and SEC regulations regarding...more | |||
Mar 05 | Sr Financial Advisor Ubis (Imperial Beach) - Bilingual Preferred | Union Bank | Imperial Beach, CA |
experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal... more | |||
Mar 05 | Associate Wealth Advisor | RSM McGladrey | Los Angeles, CA |
in addition to meeting and exceeding FINRA continuing education requirements- CA Life and Variable Annuity License- CFP certification preferred- Bachelor's Degree in Business... more | |||
Mar 05 | Associate Municipal Bond Portfolio Manager Job | Ameriprise | Boston, 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 | |||
Mar 02 | FINRA Attorney Needed | Yorkson Legal | New York, NY |
Two contract attorneys needed for a pending FINRA investigation. We expect the start date ... next week. Need reviewers who have handled FINRA investigations in the past with an... more | |||
Mar 02 | Compliance Officer / Broker Dealer | Sinon Group | New York, NY |
approval and client account activity * FINRA and NASD licenses a plus ... * Communications with FINRA * Understand FINRA requirements regarding website and... more | |||
Mar 02 | FINANCIAL CONSULTANT III (USA) Job | Capital One | New York, NY |
This individual must hold FINRA Series 7, 63 and 65/66 as well as state approved Life and ... Qualifications Basic Qualifications: - FINRA Series 7, 63 and 65/66 licenses - State-appro... more | |||
Mar 02 | Compliance Consultant 3 | Wells Fargo | Charlotte, NC |
Compliance experience with a FINRA Regulated Firm, Futures and/or Derivatives, and/or rele ... Undergraduate degree or equivalent required FINRA Series 7, 24 and 3 (or successful... more | |||
Mar 02 | Project Admin | Allied Informatics | Omaha, NE |
last) Candidates will be subject to full FINRA Background checks including Criminal and Credit. Short summary paragraph that states why you feel you are right for this job. Thanks... more | |||
Mar 02 | Pcg Operations Liaison | Wells Fargo | Carbondale, IL |
written and verbal communication skills. FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful... more | |||
Mar 02 | Client Service Manager 3-(Retail Intermediary Client Service Manager) | Wells Fargo | Boston, MA |
members. Preferred Skills FINRA Series 7 FINRA Series 63 Expert operational understanding and experience in customer service/client support servicing initiatives and strategies. more | |||
Mar 02 | Financial Planning Coordinator | Barnum Financial Group, An Office of MetLife | Shelton, CT |
and financial planning requirements. FINRA Series 6 or 7 licensed suggested but not required Life and Health insurance license suggested but not required Proficient...more | |||
Mar 01 | 401(k) District Manager | ADP | Chicago, IL |
1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... more | |||
Mar 01 | Inv Connect Financial Consulta | US Bank | St Paul, MN |
experience in a financial sales position - FINRA Series 7 license Preferred Skills/Experience - FINRA Series 63, 65 or 66 and applicable state insurance licenses - Thorough... more | |||
Feb 29 | Financial Consultant II Coastal Bend Job | Capital One | Victoria, 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 29 | Sr Financial Advisor Ubis (Portland, Oregon) | Union Bank | Portland, OR |
experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal... more | |||
Feb 29 | Sr Financial Advisor Ubis (Point Loma & Ocean Beach) | Union Bank | San Diego, CA |
experience in a financial institution and FINRA Series 7 and 65 California life and disability. Demonstrated success in soliciting new relationships. Strong verbal, interpersonal... more | |||
Feb 29 | Enforcement Regional Counsel | Financial Industry Regulatory Authority | Dallas, TX |
We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Regional Counsel opening in Dallas, TX . To be considered for this position,... more | |||
Feb 28 | BRANCH FINANCIAL ADVISOR | PNC | Lagrange, GA |
financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required. * Life Insurance License required. * Bachelor's degree preferred with an emphasis on... more | |||
Feb 28 | Regulatory Counsel | Michael Page International | New 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 27 | Senior Fixed Income Analyst - Municipal Bonds Job | Ameriprise | Boston, 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 26 | FINRA Attorney | Access Staffing | New 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 26 | Senior Compliance Consultant (Policies & Training) | MetLife | Boston, 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 |
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