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May 25 Assistant Director - Market Regulation, Options Regulation Finra New York, NY

A senior managerial position within the FINRA Options Regulation division program ... involving Members and Member firms at FINRA's client options exchanges. The... more

May 25 Regulatory Analyst - Market Regulation, Fixed Income - Rockville Finra Maryland

your resume through our career site at www.finra.org/careers - no phone calls, please. ... relevant rules and regulations enforced by FINRA. Essential Job Functions: Routinely... more

More Job Postings from the Web
May 26 Senior Broker Dealer Transfer of Assets (TOA) Associate MetLife Somerset, NJ

experience. 5+ yrs relevant experience. FINRA series 6 or 7 license preferred but not required. MetLife will incur the costs of candidates obtaining their license. Business... more

May 25 Senior Portfolio Administrator Job Ameriprise Portland, OR

Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more

May 25 Financial Consultant Assistant Bank of the West Omaha, NE

License/Certification Must obtain FINRA Series 7, 63,or 65 or 66 and life insurance licenses within the first six months after the ninety (90) day probationary periodField of... more

May 25 Compliance Manager Natixis Global Asset Management Boston, MA

blem solving and analytical abilities. Ability to multi-task and to work under pressure. Excellent presentation skills. Bachelor's degree. FINRA Series 7, 24, 63. more

May 25 Life Insurance Distribution - FINRA / SEC Attorney Vintage Legal New York

on legal issues under the SEC regulations, FINRA rules, as well as other state and federal insurance laws. Attorney will negotiate, draft and review documents and agreements and... more

May 25 Direct Supervision Principal Boa Jacksonville, FL

Credit Administration and clients Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all... more

May 24 Retirement Services Job ADP Houston, TX

and close business. Required licensing: FINRA Series 6 and 63. - Strong organization, planning, and interpersonal skills. - Ability to work in a team environment. - Possess strong... more

May 24 Supervision & Control Associate, Field FSAs - Santa Clarita Bank of America Ventura, CA

or equivalent work experience Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of... more

May 24 Financial Assistant Department of Workforce Services Ogden, UT

can change quickly. ? Willing to study FINRA Series 7 and other material on own time ... (KAC Financial will cover costs of FINRA Series 7 exam material and test.) A... more

May 24 New Business Specialist Pacific Life Parsippany, NJ

s, industry and procedures gained through 3+ years experience in the insurance industry or through a combination of experience and coursework. FINRA registration may be required... more

May 24 Retirement Specialist Nationwide Springfield, IL

Other requirements: Candidates must have FINRA Series 6 or 7 and Series 63 in order to apply Life and health licenses required Series 65/66 preferred Experience within financial... more

May 24 Supervision & Control Associate, Field FSAs Bank of America Santa Clarita, CA

or equivalent work experience Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of... more

May 23 Associate Financial Consultant Schwab Boise, ID

from time to time, or over time. Relocation Offered? No Work Schedule: Days Languages: English - spoken Current Licenses / Certifications: FINRA Series 7 Relevant Work... more

May 23 Wealth management, insurance, estate planning, financial advisor #8 Ferguson Financial Group St Louis, MO

license required on date of hire * FINRA Series 6 and 63 license within first 90 days * Series 65 a plus * Must pass background check that includes satisfactory regulatory,... more

May 23 Wholesaler - RIA Channel Primary Group New York, NY

lls Required: 2 to 4 years wholesaling experience in the assigned region with the specified relationships to an investment management firm; Undergraduate degree; FINRA Series 7... more

May 22 Business Owner/ Insurance Agent Farmers Insurance Group Long Beach, CA

(you can start part-time) $6,000 bonus for FINRA Financial Licenses Equity in your own business Great commission structure with residual income Financial assistance for two years... more

May 22 Peoplesoft HCM Functional Analyst Infostar International Pvt Washington, DC

needs, and any applicable industry and / or FINRA standards for a small project, product and / or program or a major component(s) of a larger project, product and / or program. more

May 22 Compliance Analyst Surveillance Parallel Partners Chicago, IL

Strong financial industry business knowledge FINRA Series License numbers 7 and 24 ... in MS Office applications Experience with FINRA and Web CRD FINRA Series Licenses 7 &... more

May 22 Senior Marketing Manager SCOUT Investments Kansas City, MO

es in a fast paced environment -Advanced Microsoft PowerPoint, Excel and Word skills. -Preferred: -Experience using Morningstar Direct, eVestment, and Zephyr -Experience with... more

May 21 Transaction Advisory Services Senior - Restructuring - Senio Ernst & Young Chicago, IL

ial modeling and valuation experience * excellent command of Excel, Word, and PowerPoint * familiarity with information resources such as Bloomberg and CapIQ * FINRA registration... more

May 21 New York Midtown - Associate Financial Advisor RBC Wealth Management New York, NY

Member NYSE/FINRA/SIPC. EOE. Key Accountabilities: As a part of this program, the selected candidate would need to successfully complete the training curriculum including... more

May 21 Client Service Representative Expertplan New Jersey

problem solving skills ? Highly energetic ? Proficient in PC, software and web applications ? Professional certification/designations, FINRA Series 6 and 63 a plus but not... more

May 21 Database & Advisor Services Associate First Command Financial Services Fort Worth, TX

and compliance directives of First Command, FINRA /SEC, and the respective product providers. Responsibilities Handle inquiries and process various data change requests from... more

May 21 Investment Acct Resrch Spec 3 US Bank St Paul, MN

Experience Preferred Skills/Experience - FINRA licensing a plus - Thorough understanding of investments operations such as Fed/DTC - Excellent customer service skills -... more

May 20 Compliance Officer (investments) Leader Chicago, IL

ocation package to the right candidate. Degree required. Exp. with Investment Company Act a BIG plus. NOTE: this is on the investment-side- NOT a Broker/dealer /FINRA type... more

May 19 Life and Financial Sales Specialist Farmers Insurance Group Woodland Hills, CA

Requirements Four-year college degree. FINRA Series 6 or 7, 63, and 26. Licenses will be transferred to FFS if they are with another broker/dealer. LUTCF, CLU, ChFC designations... more

May 18 Stockbroker Trainee Hfp Capital New York, NY

We are a FINRA/SIPC member firm on Park Avenue in Midtown Manhattan seeking recent college graduates We pay all expenses and offer sponsorship for Series 7 and 63 licenses You... more

May 18 Investment Advisor Hewitt Associates Charlotte, NC

customers to objectively guide them. * FINRA 65 or 66 or able to obtain within 90 days of employment. * Certified Financial Planner or Chartered Retirement Plan Consultant... more

May 18 Corporate General Counsel Counsulting Cleveland, OH

exam process. Remain familiar with current FINRA, SEC and state regulatory issues, as well as the company's own written supervisory procedures. Should have a Bachelor's degree. A... more

May 18 Retirement Consulting Group Service Representative New York Life Parsippany, NJ

Must be willing/able to obtain FINRA Series 7, 66 and 63 and life and health insurance licenses within six months of employment Must be proficient in Microsoft Word and Microsoft... more

May 17 Business Support Great-West Colorado

of ISIS, PSC and PartnerLink a plus FINRA fingerprinting will be required. General Responsibilities: - Read, sort, log, scan, fax, route and forward incoming mail - Compose and... more

May 16 Life Insurance New Business Specialist Pacific Life Insurance Company Parsippany, NJ

s, industry and procedures gained through 3+ years experience in the insurance industry or through a combination of experience and coursework. FINRA registration may be required... more

May 16 Field Sales Consultant Mutual of Omaha Bank Overland Park, KS

within an Career Agency Sales distribution * FINRA Series 6 and Series 63 registrations * knowledge of Mutual of Omaha individual product lines Must have ability to complete... more

May 16 Retirement Consulting Group Service Representative New York Life Insurance Company Parsippany, NJ

Must be willing/able to obtain FINRA Series 7, 66 and 63 and life and health insurance licenses within six months of employment Must be proficient in Microsoft Word and Microsoft... more

May 16 Sr. Advertising Compliance Analyst ING North America Insurance Windsor, CT

as home office created materials within published turnaround times as well as other related projects assigned. Will be approving based on FINRA, SEC and ING policies &... more

May 15 Producer Support/Training Associate Principal Financial Group Des Moines, IA

preferred. Training experience required. FINRA Series 6 or 7 and Series 65 or 66 required (or licensing that has lapsed in the last 6 months and are willing to retest) . Life &... more

May 15 FINRA Arbitraiton Attorney needed for long-term project Robert Half Legal St Louis, MO

FINRA Arbitraiton Attorney needed for long-term project Our client, a large financial ... a minimum of 1 year of experience trying FINRA Sales Practice Arbitrations. It's... more

May 14 Software Engineer Secondmarket New York, NY

is a registered broker-dealer and member of FINRA, MSRB and SIPC and a registered alternative trading system (ATS) for private company stock. For more information, please visit... more

May 11 Equity Trader Mentor Trading Short Hills, NJ

will leverage your account up to 30 to 1. *FINRA now requires all proprietary traders to pass the Series 56 Exam. WE WILL SPONSOR OUR TRADERS TO TAKE THE SERIES 56 EXAM. Extensive... more

May 10 Regulatory/Compliance Assistant (Paralegal) Newedge Group New York, NY

exchanges required (i.e., CFTC, SEC, NFA, FINRA, CME) * Experience working in Legal or Compliance within financial services a plus * Strong analytical and project management... more

May 09 RETIREMENT SPECIALIST Natiowide Insurance San Diego, CA

Other requirements: Candidates must have FINRA Series 6 in order to apply Series 63, 65 life and health licenses required Experience within financial services or banking/insurance... more

May 09 Financial Sales Consultant Associate Allstate Insurance Company Englewood, CO

-Expertise in FINRA, and Broker/Dealer regulatory requirements. -Knowledge of industry including competitors and trends (i.e., knows what it takes to be successful in the... more

May 09 Partner - Hedge Fund Capital Raising Novodyn Advisors New York, NY

caps on your earning potential. Must have a FINRA Series 65 or 66 license (or be grandfathered by the CFP or CFA designations) or be able to take and pass exam within one month. more

May 08 Sales Assistant Needed at Altura Credit Union CUSO Financial Services Riverside, CA

service or sales environment Current FINRA Series 6 or 7, and 63 preferred but not required Insurance licenses:life, accident, and health preferred but not required Clean... more

May 08 Investment Management Attorney Staffingforce New Jersey

me brokerage, administration, custodian, and other third-party service provider agreements. -Strong knowledge of Compliance rules and regulations of SEC, FINRA and other... more

May 08 Affluent Administration Manager - Investments - Chicago JPMorgan Chase Illinois

to effectively partner with the field **FINRA licenses Series 7 & 63 preferred, but not required **Proficient in Microsoft Office JPMorgan Chase is an Equal Opportunity and... more

May 08 Personal Assistant to Financial Advisor Barnum Financial Group, An Office of MetLife Warwick, RI

Advisor(s) licensing with the State and FINRA. Track and/or arrange Continuing Education. 9. Prepare client folders for the Advisor(s). 10. Maintain Lotus Notes and Calendar (set... more

May 07 Regulatory/Compliance Assistant (Paralegal) Newedge New York, NY

exchanges required (i.e., CFTC, SEC, NFA, FINRA, CME) Experience working in Legal or Compliance within financial services a plus Strong analytical and project management skills... more

May 06 Head of Compliance Nationstaff New York, NY

audits. * Interact directly with SEC, FINRA and IIROC personnel. * Review all new ... at one or more of the following: SEC; FINRA; broker-dealer; law firm (two or more... more

May 05 Client Support Specialist Tiaa-cref Lansing, MI

with high net worth clients * Requires FINRA Series 6 and 63 licenses within the first three months of hire or transfer * Requires state insurance licensing in all states within... more

May 04 Personal Financial Services Opportunities John Hancock US Massachusetts

of retirement plans is beneficial. * FINRA Series 6 and 63 licenses desired, but can be obtained within 3 months of hire. * Proficiency in speaking Spanish is an asset. * Bachelor... more

May 04 Brokerage Trader Wilmington Trust New York

Bachelor's degree. Ideal Qualifications: FINRA Series 7 and 63 are required within 12 months. Financial sales experience Proficient computer skills, including Word, Excel and... more

May 04 Compliance Vice President BlackRock New York, NY

Strong knowledge of FINRA/SEC regulations. Exceptional candidates with lesser experience will be considered. Understanding of alternative investment management products and... more

May 04 Personal Financial Services Opportunities Manulife Financial Massachusetts

of retirement plans is beneficial. * FINRA Series 6 and 63 licenses desired, but can be obtained within 3 months of hire. * Proficiency in speaking Spanish is an asset. * Bachelor... more

May 04 Consolidation Coordinator Manulife Financial Boston, MA

. Qualifications: Bachelor Degree. FINRA Series 6 required within 6 months of hire and Series 63 required within 12 months of hire. Financial services industry... more

May 04 Onsite Participant Counselor Diversified Texas

plans and investments essential. FINRA registration required - Series 6 or 7 and 63. Local travel is also required. Individuals with brokerage/financial advisor experience are... more

May 03 Financial Planner Private Bank Investment Lab Citi New York, NY

d Contributions Plans, concentrated stock positions, stock options analysis, and business succession planning for privately held companies is critical -FINRA Series 7, 63 and 65... more

May 03 Life and Financial Sales Specialist Nathan Taylor Insurance Agency Woodland Hills, CA

Requirements Four-year college degree. FINRA Series 6 or 7, 63, and 26. Licenses will be transferred to FFS if they are with another broker/dealer. LUTCF, CLU, ChFC designations... more

Apr 30 Manager - Retirement Services Automatic Data Processing Florham Park, NJ

FINRA Licenses 6,26, 63 Demonstrates strong oral/written communication skills. Demonstrates strong listening skills. Utilizes tools to support daily functions such as Microsoft... more

Apr 27 NYC: FINRA Arbitrations Partner Needed New York, NY

law firm looking to add partners with FINRA Arbitration experience for their NYC office. Groups are encouraged to apply. Books of business should be over $600K. We have clients... more

Apr 27 Chief Compliance Officer Enter Company Name Oklahoma

with the rules set forth by the SEC, FINRA, MSRB, and internal policies and procedures. Core Responsibilities Monitor regulatory developments Develop, communicate and document... more

Apr 27 Field Suitability Compliance Officer - Personalized Brokerage Services (PBS) Allianz Life Insurance Topeka, KS

experience in insurance/broker-dealer Active FINRA Series 6 or 7 required FINRA Series 26 ... obtain within 180 days of start date Clean FINRA compliance record required Insurance... more

Apr 24 Advertising Compliance Supervisor Stifel Nicolaus St Louis, MO

more members of the public consistent with FINRA and SEC regulations, company policies ... that any materials requiring filing with FINRA are submitted for filing in a timely... more

Apr 24 Financial Advisor with Series 7 Robert Half International Nashville, TN

is looking for a Financial Advisor with a FINRA Series 7 and Series 24 license to work on a temporary project in Nashville. Experience with Pershing Netx360 Trading system a plus!... more

Apr 20 Investment Banking Analyst Duff & Phelps Houston, TX

to work long hours and on weekends * FINRA Series 79 & 63 certification (either current or able to obtain) In order to be considered for a position at Duff & Phelps, you must... more

Apr 20 Trader Assistant Clayton, MO

with clients, so applicants must be extremely professional in manner and speak. Quickbooks and Excel experience is necessary as well.Possession of FINRA series 6 and 63 are a... more

Apr 20 High Frequency, Prop Trading COMPLIANCE Analyst Chicago Chicago, IL

for a trading firm in regulatory compliance -FINRA Series 7 and 24; Series 3, 4, 55 a plus ... and risks related to the rules of the SEC, FINRA, Chicago Stock Exchange, National... more

Apr 19 Store Financial Advisor - Seattle Metro Area Umpqua Bank Seattle, WA

for obtaining solutions. Requires a FINRA Series 7 license, Series 66 or 65, Insurance license and prior business development in private banking, and/or experience in selling... more

Apr 19 Corporate Finance - Investment Banking Senior Associate Grant Thornton Boston, MA

Subject to FINRA licensing exams, the Associate must be capable of making select buyer/tar ... the ability to work in a team environment. FINRA licenses Series 63 and Series 79 are... more

Apr 18 AGC Robert Half Legal New York, NY

high yield bonds, Rule 144A offerings, FINRA rules and regulations, contract drafting of vendor and other agreements and willing to deal with some compliance and other legal... more

Apr 17 Controller Leading Independent Investment Bank New York, NY

external audits performed by the IRS and FINRA as it related to financial reporting. ? Special project work with head office regarding implementation of new GL and IT systems... more

Apr 14 Personal Financial Associate First Niagara Lansford, PA

PA Life and Health Insurance License and FINRA Series 6 & 63 licenses required Must adhere to pertinent laws, regulations , First Niagaras Compliance Policy and external... more

Apr 12 Financial Controller Others Fetch, We Deliver! New York, NY

Handle all accounting, regulatory reporting, FINRA for growing corporate bond electronic exchange company. Manage a staff of 3. Qualifications: 10-20 years experience Series 27... more

Apr 12 Sr. Graphic Designer/Manager Marcum Search New York, NY

to ensure materials adhere to SEC, FINRA and NASAA regulations, where applicable. Work with National Accounts to ensure all materials have other necessary external approvals... more

Apr 11 Part-Time Staff Employment Litigation Attorney - New York / New Jersey Marina Sirras & Associates New York, NY

state harassment and discrimination suits, FINRA arbitrations, FLSA and wage-hour audits and litigation, non-compete and trade secret matters, breach of contract and other related... more

Apr 05 Marketing Compliance Analyst Page Personnel Boston, MA

associate will work to ensure all SEC and FINRA regulations are met and upheld. Additionally, the marketing compliance analyst will liaise with senior management to ensure they... more

Apr 03 Financial Controller Othersfetchwedeliver! New York, NY

Handle all accounting, regulatory reporting, FINRA for growing corporate bond electronic exchange company. Manage a staff of 3. Qualifications: 10-20 years experience Series 27... more

Apr 02 Compliance Manager Natixis Global Asset Mangement Boston, MA

oblem solving and analytical abilities. Ability to multi-task and to work under pressure. Excellent presentation skills. Bachelors degree. FINRA Series 7, 24, 63. more

Apr 02 Compliance Analyst-Distribution Services UMB Financial Kansas City, MO

and, where appropriate, filing with FINRA. Administer regulatory compliance ... years in a directly related compliance role. FINRA Series 6 and 26 required at time of... more

Apr 02 Benefits Service Representative Milliman Dallas, TX

irement plan needs *2 years retirement plan administration or investment planning experience preferred *ASPPA, CEBS designations, or NASD/FINRA licensing is a plus... more

Mar 29 CCOISC Broker Client Srv Spc I Citizens Financial Group Smithfield, RI

preferred Strong customer service skills FINRA Licenses 7&63 required or ability to obtain within 6 months of hire Strong problem solving and follow up skills Ability to... more

Mar 29 CCOISC Product Manager Citizens Financial Group Dedham, MA

relationship building and partnering skills FINRA Series 7, 63 & 65/66 licenses Travel required Home office can be based in Dedham, MA or Philadelphia, PA Hours and Work Schedule... more

Mar 27 New Business Case Administrator Navigon Financial Group Durham, NC

with agents, field staff, and home office a must. Team Player is essential. Proficiency with Microsoft Office Word and Excel required. Having Insurance/FINRA knowledge very... more

Mar 22 Fixed Income Compliance Specialist Michael Page International New York, NY

t The ideal candidate will meet the following qualifications: Series 7 Excellent knowledge of fixed income products Knowledge of SEC/FINRA regulations Excellent... more

Mar 19 Senior Financial Advisor Rager Resources Group San Francisco, CA

Bachelors degree 5 years of successful sales experience Knowledge in investment services, products, practices, and general market trends FINRA licenses 7, 65 and/or 66,... more

Mar 03 Wealth Manager USAA Atlanta, GA

of windows operating environment. * FINRA Series 7 and 66 (or 63 and 65) or ... knowledge of Microsoft Office tools. * FINRA Series 7 and 66 (or 63 and 65). * Life... more

Mar 02 Technical Writer Kelly Services San Diego, CA

Financial Services experience preferred. FINRA Series 7 and 66 and/or service related or financial industry certifications a plus. * Software/Systems Skills Required/Preferred:... more

Mar 02 Compliance Officer / Broker Dealer Sinon Group New York, NY

approval and client account activity * FINRA and NASD licenses a plus ... * Communications with FINRA * Understand FINRA requirements regarding website and... more

Feb 25 Labor Attorney Apogee - Tnk Recruiting Specialist Newark, NJ

suits from inception through trial, FINRA arbitrations, FLSA and wage-hour audits and litigation, drafting and revising employee manuals and policies, handling RIFs and WARN act... more

Jan 19 Tax/Cost Basis Manager Intersearch Minneapolis, MN

to regulatory compliance with the IRS, FINRA, and the SEC - Broad understanding and practical application of applicable laws and regulations - Strong organizational, managerial... more

Jan 11 FINRA / Blue Sky Specialist Special Counsel New York, NY

Top tier NY firm seeks a FINRA / Blue Sky Specialist. Candidates must have a minimum of 4-6 years of applicable experience, gained in a comparable top tier law firm setting, and... more

Dec 13 Financial Advisor Walrath Recruiting Albany, NY

* NYS Life and Health Licenses and FINRA Series 6 and 63 required Preferred ... * Bachelor in Finance/Economics/Accounting * FINRA series 7 and 65 preferred Walrath... more

Dec 06 Field Director, Financial Representative Recruiting Central Region Guardian Life Insurance Company of America Chicago, IL

and execution of recruiting strategies. * Strong oral and written communication skills. * Professional designations such as CLU, ChFC, CFP * FINRA licensed 6, 7, 24 preferred... more

Oct 03 District Manager- Central AXA Equitable Orlando, FL

Company strategy. A commitment to obtaining FINRA registrations, industry licenses and designations would be required to join our team of respected sales managers. We offer a... more

Sep 27 Trade Surveillance Analyst Wall Street Personnel Texas

required * Must have strong knowledge of the FINRA and SEC regulations and general broker-dealer operations. * Must have strong knowledge of Mutual funds and brokerage platforms *... more

Aug 22 Financial & Operations Principal Your Company New York, NY

Focus Filing & all regulatory reporting to FINRA Maintaining the compliance policies, procedures & manual Providing and monitoring Training for US staff Tax planning and liaison... more

Aug 09 Dodd-Frank Consultant Green Key Resources Stamford, CT

compliance experience -Knowledge of FINRA/SEC regulations -JD a plus Please note that you MUST be either unemployed or currently consulting and seeking a better opportunity to be... more

Jun 06 Registered Sales Assistant Dcu Financial Marlborough, MA

of financial services experience preferred ? FINRA licensing required ? Excellent PC skills, including Microsoft Word and Excel? Knowledge of investments, insurance, and financial... more

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