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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....

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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...

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

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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...

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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...

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

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

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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...

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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...

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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...

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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,...

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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...

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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...

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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...

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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...

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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....

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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....

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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....

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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...

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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...

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

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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...

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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....

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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....

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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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