269 finra jobs at 80 companies in Florida
3mo
Save
Mark Applied
Hide
FINRA Supervisory Specialist - PNC Wealth Management
Pittsburgh or Bellaire or Bridgewater or Raleigh or Birmingham or Dallas or Cleveland or Ann Arbor or Orlando or Phoenix or Charlotte or Cherry Hill or Jacksonville or Columbus or Miami
$45k-$142k/yr OnsiteFull Time
2+ YOESupervise and review trades, ensure regulatory compliance, coach staff, and manage escalations across regions.
1w
Save
Mark Applied
Hide
Senior Premier Banker Summerlin
Fort Myers, Florida, United States
OnsiteFull Time
3+ YOERequires 4+ years customer service, 3+ years relationship management and product recommendations, FINRA and state insurance licensing, SAFE registration, Saturday availability, and financial services experience preferred.
FINRA, SAFE
4d
Save
Mark Applied
Hide
Anti-Money Laundering (AML) Quality Control Analyst
Atlanta or La Vista or Oakdale or Scottsdale or St. Petersburg
$65k-$75k/yr HybridFull Time
3+ YOERequires 3+ years of securities industry experience, AML and financial crime knowledge, FINRA and SEC compliance expertise, SAR and 314 experience, MS Office proficiency, and strong communication and organization skills.
Microsoft Word, Microsoft Excel, Microsoft Access, FINRA, SEC, 314(a), 314(b), SAR
1w
Save
Mark Applied
Hide
Financial Services Associate
Tampa, Florida, United States
$21-$32/hr OnsiteFull Time
3+ YOEHigh school diploma or equivalent, 3+ years of financial services experience, SIE and Series 6 FINRA registration, Florida life insurance license, Microsoft Office proficiency, and strong communication and compliance skills.
Microsoft Office, CRM, 403(b), 457, FINRA, SEC, BSA/AML, FACT Act
5d
Save
Mark Applied
Hide
Registered Branch Associate
Panama City, Florida, United States
$28-$30/hr OnsiteFull Time
3+ YOEHigh school diploma required; bachelor's preferred. 3–5 years securities or financial services experience preferred. Series 7, Series 66, FINRA registrations, state insurance licenses, and ongoing regulatory training required.
firm intranet, FINRA, SEC
1mo
Save
Mark Applied
Hide
Registered Principal
Jacksonville, Florida, United States
$75k-$110k/yr HybridFull Time
FINRA Series 24 Registered Principal with regulatory and supervisory experience to review/approve public communications, apply SEC/FINRA rules, and provide regulatory guidance to business stakeholders.
2mo
Save
Mark Applied
Hide
Regional Supervision Manager
Atlanta or La Vista or Oakdale or Scottsdale or St. Petersburg
$70k-$80k/yr HybridFull Time
3+ YOEMinimum 3 years related experience; FINRA Series 7,24 and 63/65 or 66 required; understanding of FINRA and SEC; bachelor’s preferred; ability to prioritize and analyze compliance issues.
5d
Save
Mark Applied
Hide
Managing Director, Broker-Dealer Supervision (CT, Stamford)
Pittsburgh or Stamford or Fort Lauderdale
HybridFull Time
10+ YOERequires 10+ years of FINRA-regulated broker-dealer supervision, active Series 24, supervisory systems expertise, WSP drafting, trade review, communications surveillance, and FINRA examination experience.
Smarsh, Protogent, CAT, TRACE, NFS, FINRA Rule 3110, FINRA Rule 3120, FINRA Rule 3130
2d
Save
Mark Applied
Hide
Suitability Principal
Springfield or Phoenix or Richmond or Chicago or Hartford or Raleigh or Harrisburg or Des Moines or Atlanta or Indianapolis or Houston or Orlando or Montgomery
$69k-$91k/yr HybridFull Time
2+ YOERequires FINRA Series 7 and 24, 2+ years applying FINRA and SEC policies, risk analysis, issue investigation, high school diploma, and complex transaction or new business review experience.
National Financial Services (NFS)
1mo
Save
Mark Applied
Hide
Senior Associate, Trading Operations (Broker Dealer)
New York City or Miami or United States
$99k-$142k/yr HybridFull Time
4+ YOEBachelor's in finance/economics,4+ years broker-dealer trade operations,FINRA Series 99 required (or obtainable),Series 7/63 preferred,intermediate+ Excel/Google Sheets,SQL,knowledge of FINRA/SEC rules.
Microsoft Excel, Google Sheets, SQL
3mo
Save
Mark Applied
Hide
Financial Services Representative - State Farm Agent Team Member
Gainesville, Florida, United States
$80k-$100k/yr OnsiteFull Time
Consult on financial planning and insurance; maintain compliance; requires Life & Health license and FINRA licenses.
1mo
Save
Mark Applied
Hide
Principal Review Analyst - Charlotte, NC
Charlotte or Portsmouth or Mount Laurel or Exton or Ramsey or Sarasota or Vienna or Greenville or Princeton or Manchester or Melville or White Plains or New York City or Boston or Hartford or Portland
$72k-$118k/yr OnsiteFull Time
5+ YOE5+ years brokerage experience, college degree or equivalent, FINRA Series 7 and Series 24 (or 9/10) required, state life & health license required, EMR not applicable; strong communication, prioritization, and regulatory knowledge (FINRA/SEC/AML/KYC).
Microsoft Office
2mo
Save
Mark Applied
Hide
Financial Services Representative - State Farm Agent Team Member
South Daytona, Florida, United States
$35k-$100k/yr HybridFull Time
3+ YOE3+ years financial services experience; analytical and communication skills; FINRA Series 6 and 65 preferred.
2mo
Save
Mark Applied
Hide
Financial Representative – State Farm Agent Team Member
Riverview, Florida, United States
$50k-$70k/yr HybridFull Time
0+ YOEExcellent communication, analytical, customer service; FINRA accreditation; Life/Health license; sales track record preferred.
2w
Save
Mark Applied
Hide
Financial Services Representative - Vero Beach, FL
Ponte Vedra Beach, Florida, United States
HybridFull Time
Customer service experience, strong interpersonal and multitasking skills, attention to detail, enthusiasm for financial services, and willingness to complete required FINRA licensing exams.
SIE
1mo
Save
Mark Applied
Hide
Registered Client Service Associate (Fort Lauderdale, FL)
Fort Lauderdale, Florida, United States
OnsiteFull Time
FINRA Series 7 and 66 required; bilingual English/Spanish; client service, administrative support, report production, and knowledge of account procedures and regulations.
3w
Save
Mark Applied
Hide
Insurance and Financial Services Position - State Farm Team Member
Hallandale Beach, Florida, United States
$60k-$80k/yr OnsiteFull Time
3+ YOE3+ years insurance/financial services experience, strong communication and interpersonal skills; insurance license preferred; FINRA Series 7 and 63 preferred.
1w
Save
Mark Applied
Hide
Financial Advisor - North Central Florida Group - Panama City, FL
Panama City or Gainesville or Tallahassee
OnsiteFull Time
Bachelor’s degree or equivalent experience; FINRA SIE, life and health licenses before contracting; background check, fingerprinting, and applicable securities or insurance verification.
Microsoft Workday
2mo
Save
Mark Applied
Hide
Life/Health Insurance Position - State Farm Agent Team Member
Jupiter, Florida, United States
$40k/yr OnsiteFull Time
0+ YOELife/Health Insurance License; FINRA accreditation; sales experience; strong communication and customer service skills; goal-oriented with ability to meet sales targets.
1w
Save
Mark Applied
Hide
Registered Private Wealth Client Associate - Bilingual Spanish Preferred
Miami, Florida, United States
OnsiteFull Time
FINRA SIE, Series 7 and Series 66 (or 63 and 65) required or to be obtained; advanced industry knowledge; client service orientation; strong communication and computer skills.
Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Salesforce
Explore Jobs
Expand Your Job Search
Top Cities in Florida for Finra
- Finra jobs in Jacksonville, FL
- Finra jobs in Miami, FL
- Finra jobs in Tampa, FL
- Finra jobs in Orlando, FL
- Finra jobs in St. Petersburg, FL
- Finra jobs in Hialeah, FL
- Finra jobs in Tallahassee, FL
- Finra jobs in Fort Lauderdale, FL
- Finra jobs in Cape Coral, FL
- Finra jobs in Pembroke Pines, FL
- Finra jobs in Port Saint Lucie, FL
- Finra jobs in Hollywood, FL
- Finra jobs in Gainesville, FL
- Finra jobs in Miramar, FL
- Finra jobs in Coral Springs, FL
- Finra jobs in Palm Bay, FL
- Finra jobs in Miami Gardens, FL
- Finra jobs in Clearwater, FL
- Finra jobs in Pompano Beach, FL
- Finra jobs in West Palm Beach, FL