FINRA Jobs in Chicago
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Search Results - FINRA Jobs in Chicago
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...
Bridgepoint Investment Banking-Chicago
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 -
The Charles Schwab Corporation-Chicago
compliance, legal, business etc.) and other internal and external groups.Employ broad knowledge, understanding and awareness of compliance and regulations to inform, develop and evolve programs to meet FINRA, SEC, FRB and other regulatory requirements...
First Analysis-Chicago
Corp. (FASC), which provides investment banking and related services. FASC is a FINRA-registered broker-dealer and member SIPC.
Our integrative research process underpins all our efforts. The integrative research process drives value by unifying...
resume-library.com -
RSM US LLP-Chicago
CPA certifications a plus
• Understanding of regulations and/or banking regulations (e.g., TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.)
• Understanding of FINRA and SEC rules...
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 -
Paul Murphy Associates-Chicago
languages (e.g., Python, R, SQL); Excellent understanding of relational databases and data architecture
• FINRA Series 7 (or ability to obtain within 90 days of start date) required...
jobvertise.com -
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 -
Cabrera Capital Markets, LLC-Chicago
Decision Making 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...
workable.com -
First Analysis-Chicago
which provides investment banking and related services. FASC is a FINRA-registered broker-dealer and member SIPC.
Our integrative research process underpins all our efforts. The integrative research process drives value by unifying diverse perspectives...
resume-library.com -
Chicago
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries...
icims.com -
Request Technology-Chicago
/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve. Certified Financial Services...
tiptopjob.com -
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...
workable.com -
Robert Half-Chicago
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 are complied with.
• Role model for demonstrating highest level...
roberthalf.com -
Request Technology-Chicago
CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve. Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software...
tiptopjob.com -
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