Series 24 Jobs
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Search Results - Series 24 Jobs
Ascendo Resources-Fort Lauderdale
series 7 and 24 license
• Strong knowledge of securities regulations, including FINRA and SEC rules.
• Bachelors degree in related field...
mindmatch.ai -
Phaxis LLC-New York
Institutional Sales, Trading, Research, and Investment Banking.
Qualifications:
Bachelor's degree (BA or BS) required.
2. 4+ years of experience in compliance or a related field.
Series 7 or equivalent preferred; Series 24 is a plus.
Excellent written...
resume-library.com -
Kovack Financial Network-Fort Lauderdale
independently.
A FINRA Series 7 and Series 24 is required....
mindmatch.ai -
Phaxis LLC-New York
or a related field.
Minimum of four years' experience in compliance related to equity trading.
Series 7 license required; Series 24 preferred (or obtainable upon hire).
Strong knowledge of SEC and Client regulations governing equity markets.
Experience...
resume-library.com -
TradeZero America-Brooklyn (NY)
a must
FINRA series 24 to be taken in a timely manner
FINRA series 99 (not required but will be considered)
About the Company
“Built By Active Traders, For Active Traders”, TradeZero was founded in 2015 by a team that leveraged decades of collective...
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 -
International Search Consultants-Los Angeles
Qualifications:
• Credentials such as CFP, CPWA, or CTFA (or willingness to obtain).
• Advanced degrees (MBA, CPA, or LLM).
• Series 24 license (or desire to obtain).
• Experience with platforms like Addepar, Salesforce, Schwab, and/or Fidelity.
Why Join...
mindmatch.ai -
Webster Bank-White Plains (NY)
or more of the following: FINRA Series 7 General Securities, Series 24 General Securities Principal, or Series 14 Compliance Officer.
• Candidates with degrees (Associates, Bachelor’s, and/or Master’s) required.
• Extensive knowledge of SEC laws...
appcast.io -
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 -
Ameritas-Lincoln
standards required.
• Active FINRA Series 24 (General Securities Principal), Series 65/66, and Series 7 licenses required.
• Proficiency with compliance technology platforms and supervisory tools desired.
What we offer:
A meaningful mission. Great...
Phoenix
improvement and risk awareness within the team.
• Ensure team members are adequately trained and equipped to handle high-risk items effectively.
Compliance and Certification:
• The candidate must obtain a Series 24 license within one year of placement...
joincambridge.com -
1 similar job: Fairfield
Zions Bancorporation-Los Angeles
of meeting deadlines and effective time management
• Series 79 (or equivalent) and 63 will be required within 90 days of joining and potential need for Series 24
The salary range for this role is $250,000 to $300,000. The salary range reflects the range...
appcast.io -
Lenexa
in business administration or related field.
• 5+ years of broker-dealer and/or RIA compliance, supervisory, or regulatory experience.
• FINRA S7 required. Series 24 strongly preferred or obtain within 90 days of hire.
Required Knowledge, Skills...
icims.com -
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 -
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 -
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