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FINRA Jobs

1 - 15 of 370
1 - 15 of 370
Search Results - FINRA Jobs
Edward Jones-Madera (CA)
the assigned paid study period.  •  FINRA registrations required within three months. State insurance licenses will be required.  •  As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
16 similar jobs: Wailuku, Ford City, Pittsboro, Lake Wales, North Attleboro...
Thrivent-Denver
veterans are encouraged to apply.  •  Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting.  •  Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable...
1 similar job: St Louis
Ameritas-United States
of education and experience required.  •  1-3 years of relevant experience required.  •  FINRA Series 6 required.  •  FINRA Series 26 required within 180 days of starting role.  •  FINRA Series 7 and 24 desired but not required. What we offer: A meaningful...
USAA-Colorado Springs
have:  •  High School Diploma or General Equivalency Diploma required.  •  Active Group 1 Life & Health license  •  Active, in good standing, and maintained FINRA 7 license  •  Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license...
Northwestern Mutual-Orlando
and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.  •  Individuals are required to have a minimum of three years...
USAA-Colorado Springs
be required to have the ability to obtain Life/Health license and any required Carrier appointments within 90 days of job entry.  •  RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7, 66 (or 63 and 65), 24, and 51 (or 53), and/or attainment within...
2 similar jobs: Phoenix, Tampa
Pyramid Consulting, Inc-San Antonio
sales calls for Compliance; Review regulatory rules (NAIC, State, FINRA); Experience as a Life Insurance Agent; Reports. Task-oriented. Strong attention to detail. Ability to review/listen to sales calls for compliance. Knowledge of suitability...
resume-library.com -
USAA-Colorado Springs
Required maintenance of Life/Health license.  •  Required maintenance of FINRA Series 7 license.  •  Required maintenance of FINRA Series 66 (or 63 and 65) license.  •  Must be able to successfully pass background check and meet all USAA and regulatory...
Millennium Group-San Antonio
and transactions within agreed-upon SLOs and with a high degree of efficiency and effectiveness.  •  Knowledge of suitability reviews/recommendations.  •  Knowledge of regulatory requirements (NAIC, State, and/or FINRA).  •  Effectively communicates findings...
resume-library.com -
Financial Industry Regulatory Authority-Chicago
feedback, training, etc.Contribute to the development and enhancement of FINRA’s cross-market surveillance program.Work across delivery teams to deliver analytics capabilities that solve critical business problems.Drive availability of relevant data, tools...
moomoo-Jersey City
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally. Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring...
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Wedbush Securities-Los Angeles
recognized investment banking firm (including significant origination and execution experience with both M&A and public financing transactions)FINRA Series 79 required; Series 24 preferredProven track record with increasing responsibilities of lead...
1 similar job: New York
Fisher Investments-Arlington
and in-person  •  Convey and present our firm’s investment management strategies Your Qualifications:  •  5+ years’ experience in client-facing or production-based roles in Financial Services  •  FINRA Series 65 preferred (required within 60 days of hire...
thecareerwallet.us -
The Charles Schwab Corporation-Orlando
of employment)Bachelor’s Degree requiredActive and valid FINRA Series 7 license requiredActive and valid FINRA 66 license required (may consider a 120-day COE)Active and valid FINRA 9/10 required (may consider a 120-day COE)Five plus years’ experience...
Page Executive-New York
the business on 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934 and FINRA regulations.  •  Assess and mitigate regulatory and reputational risks with respect to product offerings and financial technology services.  •  Collaborate...
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