Series 24 Jobs
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Search Results - Series 24 Jobs
SpeedRoute-Jersey City
and/or market-making activities, and the requisite FINRA licenses (Series 7, 55 or 57, and Series 24). The successful candidate will leverage their expertise to build and maintain strong client relationships, execute sales strategies, and contribute...
mindmatch.ai -
Social Capital Resources LLC-Tampa
auditing experience in a broker/dealer environment or 5 years of industry experience is a must.
• Requires Series 7 license and Series 24 license.
• Strong attention to detail and analytical skills.
• Excellent written and oral communications skills...
resume-library.com -
Foris Capital, a crypto.com company-Portsmouth (NH)
Series 24 and supervisory experience are welcome but not required;
• Clean regulatory record with no Disclosure Events;
• Excellent customer service, written, and verbal communication skills;
• Effectiveness and willingness to deliver customer experience...
mindmatch.ai -
Fairfield (IA)
within 12 months. A Series 24 would be preferred.
Compensation: $45,000-$55,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate’s qualifications, the Company’s operational needs...
joincambridge.com -
1 similar job: Phoenix
Hold Brothers Capital, LLC-New York
for information.
Qualifications
• Bachelors degree in business administration, Finance, Legal or related field
• 4+ years of experience in public equities trading compliance.
• Series 7 required, Series 24 preferred or attained upon hiring.
• Strong knowledge...
mindmatch.ai -
New York
Conductregulatory oversight, specifically marketing supervision, in accordance with applicable regulatory requirements, including Series 24 review and approval, CIRO, and internal policies and procedures to detect and/or prevent violations.
Including...
tiptopjob.com -
Talently-Wheaton (IL)
Have Skills:
1. 10 years of securities compliance, with working knowledge of SEC rules, including Investment Company Act of 1940 and Investment Advisers Act of 1940
2. Bachelor’s Degree required
3. Series 7 & Series 24 Required
4. Currently in a senior...
mindmatch.ai -
Michael Page-New York
deadlines
• Quick learner with a proactive and team-oriented approach
• Professional and confidential work ethic
• SIE, Series 7, and Series 24 required for the role, but not a prerequisite
What's on Offer
Opportunity to grow and be exposed to every...
michaelpage.com -
Whittier Advisors-Los Angeles
Series 7 & 66
• Excellent verbal and written communication skills
• High integrity and empathy
• Entrepreneurial mindset
• Proficiency in Microsoft Office
Preferred Qualifications
• CFP (or desire to obtain)
• MBA
• Series 24 (or desire to obtain...
mindmatch.ai -
1 similar job: Newport Beach
Des Moines
Series 7 and 66 required
• FINRA Series 24 obtained within 12 months of start date.
• Certified Information Privacy Professional (CIPP/U or CIPM) required within 12 months of start date.
• Excellent verbal/written communication skills and group...
principal.com -
Saint Louis
about how you can find your place here at Stifel, where success meets success.
What You'll Be Doing:
The Public Communications Specialist reviews, edits, advises, and verifies the final copy, with the Series 24 Principal approving (or denying...
icims.com -
Fairfield (IA)
7+ or more years, with compliance, internal audit, or a related field within the financial services industry.
Certificates & Licenses:
This role requires a Series 7 and Series 24
Preferred Skills:
• Strong understanding of regulatory...
joincambridge.com -
1 similar job: Phoenix
Creand Wealth Management (Beta Capital)-Miami
experience conducting suitability reviews of broker-dealer
• Experience with Surveillance, Conflicts of Interest and/or Anti-Money Laundering.
• FINRA Series 7 required. Series 24 a plus.
• Experience and understanding of regulatory landscape
• Strong...
mindmatch.ai -
1 similar job: Chicago
First Command Financial Services, Inc.-Fort Worth
written and organizational skills
• Proficient use of Microsoft Office Suite
• FINRA Series 7 required
• FINRA Series 24 required
• FIRNA Series 63 may be required dependent on daily responsibilities.
Additional Abilities
• Problem-solving skills...
mindmatch.ai -
Velox Clearing-Miami
for this position.
License / Certification Requirements:
• FINRA Series 7 Strongly recommended
• FINRA Series 24 Strongly recommended
• Broker Dealer experience Required
• Trade Surveillance experience Required
Benefits:
• Competitive salary and comprehensive...
mindmatch.ai -
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