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Finra Jobs (5382 found)

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Voya Financial Jacksonville FL
Some positions offer the opportunity to work toward the FINRA Series 6 registration-one of the fantastic opportunities available for this position....

Green Street Advisors, Inc. Newport Beach CA
Becoming a FINRA registered representative, by taking regulatory exams. Green Street Advisors is a preeminent independent research and advisory firm...

JonesTrading LLC Morristown NJ
FINRA License (Preferred). This role involves providing Daily on-site production trade support and remote support for regional offices....

Entoro Captial Houston TX
FINRA Series 7, 63, 79 or 82 certifications (current or able to obtain). Full-time Analyst/Associate to assist a group of investment bankers and A&D...

Athene West Des Moines IA
We are Athene. At Athene, we are driven to do more. We are a leading retirement services company that issues, reinsures and acquires retirement savings...

BNP Paribas New York NY
FINRA Registrations Required:. Primary & Credit Markets provides funding and capital solutions to Corporates, Sovereigns, Supranationals and Agencies (SSAs) and...

MARV Capital New York NY
Potential opportunity to obtain a FINRA Registered Representative license. Entry level or Junior Analyst....

Chimera Securities LLC New York NY
To learn more about the SIE exam please visit the FINRA website:. It is used to assess a candidate’s basic knowledge of the securities industry and is a pre...

Zacks Investment Management Chicago IL
Ability to obtain FINRA Series 7 & 63 licenses within 120 days of start date. Concurrently, the Broker Trainee will concentrate on obtaining the FINRA Series 7...

Zacks Trade, a division of LBMZ Securities Chicago IL
Ability to obtain FINRA Series 7 & 63 licenses within 120 days of start date. Concurrently, the Licensed Broker Trainee will concentrate on obtaining the FINRA...

SeedInvest New York NY
Conducting thorough review of company offering materials for compliance with FINRA rules. Since then, SeedInvest has worked closely with members of the SEC,...

New York Life Insurance Co New York NY
FINRA Series 6 or 7, or willing to obtain one within 6 months. New York Life Insurance Company is the largest mutual life insurance company in the United States...

First Republic Bank Los Angeles CA
Assist with ensuring compliance with NFA/CFTC, FINRA and SEC requirements, including such items as performance of the annual NFA self-exam, suitability, bad...

Voya Financial Des Moines IA
Process new U4's with FINRA for new reps that are onboarding with Voya Financial Advisors. As part of the application process, a candidate account is required...

Laidlaw & Company Melville NY
The individual will assist our compliance manager with all compliance matters. The individual will assist in the following functions; All compliance matters...

LaSalle St. Securities, LLC Elmhurst IL
FINRA Series 7 & 63/66 are a plus. LaSalle St Securities, LLC located in the Western Suburbs of Chicago is looking for a Back Office Operations Specialist....

SeedInvest New York NY
Since then, SeedInvest has worked closely with members of the SEC, FINRA, the White House, and the Treasury Department on the implementation of the JOBS Act....

Guzman & Company Coral Gables FL
FINRA Series 7 (Preferred). As well as, manage and supervise AML and cyber programs to ensure compliance with federal securities law and FINRA regulations....

Morgan Stanley New York NY
Relevant government or regulatory experience (i.e., SEC, DOJ, FINRA). Morgan Stanley is a leading global financial services firm providing a wide range of...

Peter Yurkowski,CPA, LLC Manhattan NY
 FINRA, Series 6 & Series 66 (Series 7 a plus) -- does not include cold calling. The primary purpose of the Financial Services Assistant position is to ensure...

ETC Global Group San Francisco CA
FINRA Series 7 and 24 Licenses helpful but not required. Electronic Transaction Clearing, Inc....

SmartPro Financial Cedar Rapids IA
Hold FINRA Series 7 and 24 licenses. SmartPro Financial has an opportunity for an individual with compliance experience to join our team as a Compliance Officer...

New York Life Insurance Co White Plains NY
Investigate and analyze agent sales practices to detect potential violations of state and federal laws, FINRA rules, and/or Company procedures....

Just2Trade Inc. New York NY
Just2Trade Inc. is a broker-dealer based in New York City. The company offers brokerage accounts for individuals and institutions that are investing online....

TIAA Charlotte NC
Job Description COMPANY OVERVIEW: As long as there are people who make the world a better place, we'll keep making a difference for them. Since 1918, it has...

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