FINRA Jobs in Boston
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Search Results - FINRA Jobs in Boston
Fanning Personnel-Boston
and regulatory risk.
• Manage, monitor, and enforce all compliance requirements and best practices to ensure effectiveness with a focus on continuous improvements.
• Act as the firm's appointed SEC and FINRA regulatory liaison, managing regulatory audits...
appcast.io -
Fidelity Investments-Boston
GRC (preferred)
• FINRA license (e.g., Series 7), Master's, or advanced degree with strong academic credentials (preferred)
Behavioral Attributes
• Exhibits executive presence and effectively persuades and influences senior leaders
• Supports...
New York Life Insurance Company-Boston
annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities...
mindmatch.ai -
MassMutual-Boston
and/or within financial institutions (banks, credit unions, wires, broker dealers)
• FINRA Series 6 at time of application or must obtain within 180 days of hire
• State Securities License Series 63 license at time of application or must obtain within 180 days...
Nbsalonspa-Boston
1. 2-4 yrs. financial services sales experience preferred.
2. Bachelor’s degree required.
3. Excellent written and oral communication skills.
4. FINRA Series 7 and 66 preferred.
5. FINRA Series 6, 63 and 65 may be considered for exceptional...
appcast.io -
Equitable Advisors-Boston
selves
Training and support
To get started as a Financial Professional, Equitable Advisors will sponsor your pursuit of the FINRA registration requirements as well as help you navigate state licensing needs.
Our entry level training curriculum...
mindmatch.ai -
Fidelity Investments-Boston
state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring...
The Moody Street Group, LLC-Boston
for professional designations and conferences at worldwide locations.
If you would like meet with us to learn more,
Apply Now
Note: Securities offered through OneAmerica Securities, Inc.,Member FINRA, SIPC, A Registered Investment Advisor. The Moody Street Group...
mindmatch.ai -
MassMutual-Boston
accounting/reporting
• Due to the nature of this position, as part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprint person for FINRA
The Ideal Qualifications
• MSA...
JPMorgan Chase & Co.-Boston
partnerships with senior business and control partners
• FINRA Series 79, 63 and Securities Industry Essentials licenses required or must obtain within 180 days of hire
Preferred Qualifications, Capabilities and Skills
• Bachelor’s degree and formal credit...
appcast.io -
Fidelity Investments-Boston
regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Fidelity's hybrid working model blends the best of both onsite...
ADP-Boston
and achieve success.
Bonus points for these:Preferred Qualifications
• Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus; candidates with great sales acumen will be considered pending...
mindmatch.ai -
Fidelity Investments-Boston
state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring...
STATE STREET CORPORATION-Boston
Expertise in digital content development, distribution, SEO, AEO, and performance analytics.
7. Familiarity with regulatory requirements and compliance considerations in financial content, especially with respect to registered products and FINRA requirements...
appcast.io -
Keller Executive Search-Boston
oriented mindset.
• Proficiency in CRM software and Microsoft Office Suite.
• FINRA Series 7 and 63 licenses (required).
• Flexibility to travel occasionally for client meetings and industry events.
Benefits
Remote Opportunity: Must reside in the Boston...
workable.com -
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