1w
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FINRA Exams (Series 7 & SIE) Tutor
United States
RemoteContract
Strong FINRA exam scores, prior tutoring or teaching experience, ability to create tailored study plans and teach test strategy; hosts virtual sessions and sets own hours.
1mo
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FINRA Supervision Specialist - PNC Wealth Management
Cleveland or Pittsburgh
$75k-$125k/yr OnsiteFull Time
2+ YOEBachelor's degree (or equivalent), 2+ years relevant experience, FINRA series licenses (7, 24/9/10, 66/63/65; 4 and 53 preferred), strong regulatory, risk management, communication and analytical skills.
1w
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Investment Associate, FINRA Registered
Camillus, New York, United States
$23-$35/hr HybridFull Time
1+ YOE1+ year brokerage or financial services experience; high school diploma; FINRA S6,S63,SIE required; Series 7 and life insurance preferred; strong communication, organization, and investment knowledge.
Microsoft Word, Microsoft Excel, PowerPoint
2mo
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Managing Director, ECM-Investment Banking (FINRA)-3
Ridgewood or Minneapolis
$200k/yr HybridFull Time
5+ YOE1+ MgmtSenior investment banking role requiring capital markets experience, FINRA licenses, and leadership skills.
Microsoft Office Suite
3d
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FINRA Certified - Call Center Support Representative
Nashville or United States
RemoteFull Time
2+ YOEFINRA Series 6 or 7 required, high school diploma/GED, 2+ years call center customer service, life insurance and financial services experience, strong communication and analytical skills.
phone systems, help desk software, document processing tools
1mo
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Client Service Excellence Representative (FINRA Licensed)
Idaho or United States
$71k-$82k/yr RemoteFull Time
3+ YOEActive FINRA Series 7 and Series 63 required, 3+ years inbound phone/customer-facing experience, strong CRM and client service skills, high school/associate/bachelor acceptable, licensed to register as required.
CRM
2mo
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Managing Director, ECM-Investment Banking (FINRA)-3
Ridgewood or Minneapolis
$200k/yr OnsiteFull Time
5+ YOE1+ MgmtBA required; FINRA SIE, 7, 63 and 79 licenses; 5+ years investment banking; Director-level experience; willingness to travel.
Excel, Word, PowerPoint, Outlook
1mo
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Marketing Materials Compliance Sr. Specialist - FINRA (7/24)
Milwaukee, Wisconsin, United States
$76k-$113k/yr HybridFull Time
4+ YOE4+ years relevant experience, FINRA Series 7 & 24 required or obtainable within 6 months, bachelor’s degree preferred, advertising compliance review experience, knowledge of insurance/investment products, strong communication and problem-solving skills.
5d
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Wealth Business Analyst III - FINRA
Charlotte or Atlanta
OnsiteFull Time
6+ YOEBachelor's in business/accounting/marketing or equivalent, 6+ years analytical experience in financial services, project management, strong quantitative and communication skills, Microsoft Office proficiency.
Microsoft Office, SAS
5d
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Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
San Francisco or New York City
$180k-$260k/yr HybridFull Time
Active FINRA Series 7 and 24, significant BD/RIA compliance leadership, experience building compliance programs at fintech or tech-driven firms; JD or advanced degree preferred; strong regulatory knowledge and communication skills.
2mo
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Wealth Management Coach-New York, NY
New York or Roseland or Hackensack or Princeton
$160k-$170k/yr HybridFull Time
5+ YOE5+ years experience; FINRA Series 7/63/65/66; Life/Health Insurance license; university degree preferred
FINRA, Series 7, Series 63, Series 65, Series 66, Life and Health Insurance License
2mo
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Financial Consultant - Garden City, NY
Garden City, New York, United States
$60k-$75k/yr OnsiteFull Time
FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and/or able to obtain upon hire; strong relationship skills; CFP or degree helpful.
FINRA, Investment platforms
2mo
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Senior Compliance Analyst
Dallas, Texas, United States
HybridFull Time
5+ YOE5+ years broker-dealer compliance; FINRA Series 7; Series 24; strong regulatory knowledge; excellent communication; team oriented; AI tooling experience.
FINRA, SEC, RegulatoryComplianceTools, ArtificialIntelligenceTools
4d
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Licensing Specialist
Fort Worth, Texas, United States
HybridFull Time
2+ YOEBachelor's degree or equivalent, 2 years customer service, administrative experience, knowledge of state licensing, FINRA and RegEd systems, strong communication, attention to detail, and confidentiality.
Microsoft Office, AS400, RegEd, FINRA
2mo
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Retirement Planning Consultant I
United States
$66k-$80k/yr RemoteFull Time
3+ YOEThree years of financial services experience; FINRA licenses (6/7 and 63); RPA/CRPC or higher certs preferred; Bachelor's degree; strong communication and presentation skills.
FINRA, Salesforce, Microsoft Office
1w
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Regulatory Reporting Operations- Associate
New York, New York, United States
$65k-$103k/yr OnsiteFull Time
4+ YOEExperience with CAT/CFTC/FINRA reporting, trade lifecycle and controls, exception investigation, governance, and change management; ~4 years relevant experience; strong communication and risk focus.
CAT, CFTC, FINRA, Alteryx, Microsoft Power Apps, UiPath
3mo
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Marketing Compliance Senior Analyst
Boston or Needham
$90k-$180k/yr HybridFull Time
Wellington Management: Manages investment portfolios and provides financial research for institutions.
5+ YOE5+ years in investment adviser or fund compliance; Series 7 and Series 24; FINRA/SIE; 40 Act fund experience; Bachelor’s in finance/business/economics/marketing; strong regulatory knowledge.
FINRA, Data Analysis Tools, Regulatory Compliance Software
2mo
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Merrill Financial Solutions Advisor (Partially Licensed) – North Florida Market
Destin, Florida, United States
OnsiteFull Time
4+ YOEFINRA SIE required; 4+ years professional/military; 2+ years investments; ability to obtain Series 7/66; strong relationship and communications skills; goal-oriented and regulatory due diligence awareness.
FINRA, Investment Advisory Tools, CRM, Portfolio Management Systems
2mo
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Private Client Banker - Lake Zurich Branch - Lake Zurich, IL
Lake Zurich, Illinois, United States
$23-$30/hr OnsiteFull Time
1+ YOE1+ year banking sales/relationship experience; licensing: SIE, FINRA Series 6/7, state registrations or must complete; comply with Dodd-Frank; high school or equivalent; ability to work weekends/evenings
NMLS, SIE, FINRA
1mo
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Director of Sales - Retirement Solution, Greater Los Angeles (Downtown, Westside, Valley, and South Bay)
Los Angeles, California, United States
$85k-$90k/yr OnsiteFull Time
2+ YOEBachelor's degree; 2+ years retirement sales; strong communication; portfolio and financial product knowledge; FINRA Series 6 and 63; investment company/variable contracts registration; ESOP/defined benefit knowledge a plus.
FINRA, Investment Products, Portfolio Management, Salesforce
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