FINRA Jobs in Waltham (MA)
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Waltham (MA)
and FINRA/SEC procedures and regulations
Core Strengths and Skills
• FINRA Series 7 securities license, required. FINRA Series 24 and 4 Preferred.
• Minimum 3 years’ experience working in financial services with at least 1 year working on a Trade Desk...
icims.com -
Edward Jones-Arlington (MA), 6 mi from Waltham (MA)
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...
Waltham (MA)
their clients, our company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,300 independent financial advisors nationwide...
icims.com -
Fanning Personnel-Boston, 10 mi from Waltham (MA)
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 -
Waltham (MA)
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. Privately held since 1979, the firm...
icims.com -
Waltham (MA)
for our advisors, their clients, our company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial...
icims.com -
Waltham (MA)
Together, we can build a better future for our advisors, their clients, our company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers...
icims.com -
Waltham (MA)
company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. Privately held...
icims.com -
Waltham (MA)
for our advisors, their clients, our company, and you.
About Commonwealth
Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial...
icims.com -
Waltham (MA)
Exemplary customer service skills
Additional Skills and Knowledge
• 1–2 years of financial services experience
• FINRA Series 7 securities registration preferred, or willing to obtain within six months
• Understanding of Microsoft Word, Excel, and Outlook...
icims.com -
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