FINRA Jobs in Chicago
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Search Results - FINRA Jobs in Chicago
New York Life Insurance Company-Chicago
to help meet your clients’ protection and financial needs. These products include: life insurance, annuities, long term care insurance, disability insurance and investment products offered through our broker-dealer arm NYLIFE Securities LLC (member FINRA...
mindmatch.ai -
Chicago
5 months of employment, however a licensed individual is preferred:
• Successful Registration as an Investment Company Products/Variable contracts Limited Representative (FINRA Series 6 or equivalent and FINRA Series 63).
Successful candidates...
principal.com -
Cetera Investment Services LLC-Chicago
Applicants are required to hold a current FINRA Series 7 and 66 (or 63/65) in order to be considered.
The Financial Advisor is responsible for providing financial planning, financial advice and investment management to serve the needs of the bank’s consumer...
mindmatch.ai -
IQ-EQ-Chicago
as broker-dealers or investment advisers with the appropriate regulatory bodies
Assist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam support
Train staff on firm processes, new regulations or takeaways from industry...
resume-library.com -
Modern Woodmen of America-Chicago
impact the lives of many.
Qualifications
Passion for bettering members’ financial lives.
Ability to obtain or already hold: an active life insurance license, FINRA securities registration (Securities Industry Essentials®/SIE), Series 6 and/or 7 license...
mindmatch.ai -
Cabrera Capital Markets, LLC-Chicago
Excellent analytical, financial modeling, and presentation skills
FINRA Series 7, Series 79 and Series 63 licenses required (or within 6 months of hire)
Ability to work effectively in a fast-paced, team-oriented environment
Willing to travel 50...
resume-library.com -
Mutual of Omaha-Chicago
requirements, gaining the skills and knowledge needed to excel.
• Obtain the required insurance licenses prior to starting the job, with up to two attempts allowed for the Life and Health exam.
• Pass the CRD/FINRA background check at hire and ongoing...
Bridgepoint Investment Banking-Chicago
so we encourage everyone to be in the office Monday to Thursday, working remotely on Friday.
• Please provide your resume, a list of relevant completed M&A & Capital Raising transactions and your active FINRA licenses....
resume-library.com -
Mutual of Omaha-Chicago
requirements, gaining the skills and knowledge needed to excel.
• Obtain the required insurance licenses prior to starting the job, with up to two attempts allowed for the Life and Health exam.
• Pass the CRD/FINRA background check at hire and ongoing...
Chicago
Aon Securities LLC has global operations and is a FINRA US registered broker dealer, and SEC Registered Investment Adviser. The primary focus includes development and operation of a Compliance Program that meets the regulatory requirements.
What...
icims.com -
Mutual of Omaha-Chicago
requirements, gaining the skills and knowledge needed to excel.
• Obtain the required insurance licenses prior to starting the job, with up to two attempts allowed for the Life and Health exam.
• Pass the CRD/FINRA background check at hire and ongoing...
Madison-Davis, LLC-Chicago
matters.
• Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters...
mindmatch.ai -
Mutual of Omaha-Chicago
requirements, gaining the skills and knowledge needed to excel.
• Obtain the required insurance licenses prior to starting the job, with up to two attempts allowed for the Life and Health exam.
• Pass the CRD/FINRA background check at hire and ongoing...
Cabrera Capital Markets, LLC-Chicago
Responsibilities
Manage staff accountant and clerical support personnel
Manage FINRA/SEC Financials
Manage monthly accounting close and timely and accurate completion of firm’s monthly FOCUS filings with SEC
Knowledge, Skills & Abilities Requirements
Strong...
resume-library.com -
Mutual of Omaha-Chicago
requirements, gaining the skills and knowledge needed to excel.
• Obtain the required insurance licenses prior to starting the job, with up to two attempts allowed for the Life and Health exam.
• Pass the CRD/FINRA background check at hire and ongoing...
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