Sep 29 | Examination Manager | Finra | Atlanta, GA |
We Work to Protect Investors.Join our Team. FINRA is seeking a well-qualified individual for our Examination Manager opening in our Atlanta, GA office.To be considered for this... more | |||
Sep 29 | Personal Banker - Wilshire and Beverly - Beverly Hills, CA ((FINRA Series 6/63 & CA Insurance Licens | Chase | Beverly Hills, CA |
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,200 locations where our... more | |||
Sep 29 | Financial Advisor - DE/PA Life/Health, FINRA | Volt Information Sciences | Pittsburgh, PA |
Financial Advisor - DIRECT HIRE - Pittsburgh, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR STRAIGHT... more | |||
Sep 28 | Financial Advisor - DE/PA Life/Health, FINRA - Pittsburgh, P | Volt Information Sciences | Pittsburgh, PA |
Financial Advisor - DE/PA Life/Health, FINRA - Pittsburgh, PA Posted on:09/27/12 Job Number: 300398-8907-1-309828 Add to Cart Email to a Friend Location: Pittsburgh, PA... more | |||
Sep 28 | Compliance Examiner - Member Regulation | Finra | Chicago, IL |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual forfuture Compliance Examiner opportunities in Chicago, IL . To be considered for this... more | |||
Sep 28 | IS Audit Project Leader II/Auditor III | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our IS Auditor III/Audit Project Leader II opening in Rockville, MD . Level offered... more | |||
Sep 28 | Financial Advisor - DE/PA Life/Health, FINRA - Williamsport, | Volt Information Sciences | Williamsport, PA |
Financial Advisor - DE/PA Life/Health, FINRA - Williamsport, PA Posted on:09/27/12 Job Number: 300398-8907-1-309829 Add to Cart Email to a Friend Location: Williamsport, PA... more | |||
Sep 24 | Financial Operations Examiner | Finra | New York, NY |
FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY. Conducts on-site examinations and assesses Floor member and member... more | |||
Sep 24 | Regulatory Analyst - Market Regulation, BX | Finra | New York, NY |
The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities laws, rules and regulations... more | |||
Sep 24 | Director, Corporate Records | Finra | Gaithersburg, MD |
The Director of Corporate Records (DCR) is responsible for senior level oversight of FINRA's Records Management Program. With guidance from the FINRA Records Management Board, the... more | |||
Sep 24 | Director II, Fixed Income Regulation | Finra | Washington, Dc |
The Director, Fixed Income Regulation, working independently, provides leadership, oversight and supervision of FINRA's regulatory program for fixed income securities with a... more | |||
Sep 21 | Public Offerings Analyst | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Public Offerings Analyst opening in Rockville, MD . To be considered for this... more | |||
Sep 20 | Regulatory Analyst - Market Regulation, Short Interest - Rockvil | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more | |||
Sep 19 | Personal Banker - West Los Angeles, CA (FINRASeries 6/63 & CA Insurance Licenses Preferred) | Chase | West Los Angeles, CA |
Play a vital role in the customer banking experience at Chase! Aspart of JPMorgan Chase, a leading global financial services firm,Chase has over 5,200 locations where our bankers... more | |||
Sep 17 | Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required) | MetLife | New Jersey |
Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more | |||
Sep 14 | Financial Advisor - PA Life/Health, FINRA - DIRECT HIRE | Volt Information Sciences | Johnstown, PA |
Financial Advisor - DIRECT HIRE - Johnstown, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct Hire... more | |||
Sep 14 | Legal Counsel - Market Regulation | Finra | Chicago, IL |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Legal Counsel opening in Chicago, IL . To be considered for this position, please... more | |||
Sep 12 | Financial Advisor PA Life/Health, FINRA - DIRECT HIRE | Volt Information Sciences | Williamsport, PA |
Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more | |||
Sep 12 | Enterprise Architect - New York, NY or | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enterprise Architect opening in New York, NY or Rockville, MD. To be considered... more | |||
Sep 11 | Compliance Examiner - Market Regulation, TMMS Options | Finra | New York, NY |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more | |||
Sep 11 | Regulatory Analyst - Market Regulation, Trading Practices - Rock | Finra | Rockville, MD |
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more | |||
Sep 07 | Director, Corporate Records | Finra - Financial Industry Regulatory Authority | Rockville, MD |
We Work to Protect Investors Join our Team FINRA is seeking a wellqualified individual for our Director Corporate Records opening in Rockville MD To be considered for this... more |
It would have been an easy bit of adjudication by a FINRA arbitrator to find that a now-barred rep was the bad guy, that he victimized his clients and... Read On
The FINRA Regulatory Mule Kicks Defrauded Customers In the Head (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6852/finra-anderson-hard... Read On
In today's Blog we got a FINRA regulatory decision, a state court judgment, a bankruptcy, and a federal court action. As the legal matters now stand, ... Read On
When considering an appeal questioning FINRA's denial of an expungement request, the SEC seems to have approached its deliberation as a cat toying wit... Read On