70 finra jobs at 34 companies in Miami, FL
3mo
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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.
4d
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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
1mo
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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
1mo
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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
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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
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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
3mo
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Associate Principal Analyst, Advertising Regulation
Rockville or Jericho or Denver or Dallas or Chicago or Boston or Boca Raton or Tysons or Jersey City or Woodbridge or Washington or San Francisco or Philadelphia or New York or Los Angeles
HybridFull Time
5+ YOEBachelor's degree plus five years related industry experience; excellent communication; knowledge of FINRA/SEC/MSRB/SIPC rules; hybrid work; occasional travel.
Microsoft Word, Office Suite
2w
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Planning Consultant - Ft. Lauderdale, FL
Fort Lauderdale, Florida, United States
OnsiteFull Time
2+ YOEFINRA Series 7 & 66 (or ability to acquire), 2+ years financial services experience, CFP encouraged, client profiling, outbound calling, and use of planning tools.
Salesforce, Glance
3d
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Private Wealth Advisor - Miami/Orlando Florida
Miami or Orlando or Jacksonville
$87k-$123k/yr RemoteFull Time
5+ YOEBachelor's degree in business or related field or equivalent experience; 5+ years in financial services and client experience; wealth management expertise; Series 65 and FINRA fingerprinting required.
Microsoft Word, Microsoft Excel, Microsoft Outlook, Microsoft PowerPoint, Salesforce, NetX360
1w
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Senior IS Analyst-IT Security
St. Petersburg or Rancho Cordova or Fort Lauderdale or New York or San Mateo
$116k-$158k/yr HybridFull Time
3+ YOE3+ years industry experience supporting Microsoft 365 Purview and compliance archiving; PowerShell/automation experience; knowledge of FINRA/regulatory retention; strong communication and documentation skills.
Microsoft 365 Purview Compliance Portal, Microsoft 365, PowerShell, Azure Automation Runbook, Logic App, Outlook/Exchange Online, SharePoint, Microsoft Teams, ServiceNow, PowerPoint, Confluence, Microsoft Visio
1d
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Registered Wealth Management Client Associate
Fort Lauderdale, Florida, United States
OnsiteFull Time
Requires FINRA SIE, Series 7, and Series 66 licenses, advanced investment product knowledge, client-service skills, adaptability, judgment, and proficiency with Microsoft Office and Salesforce.
Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Salesforce
1w
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Wealth Management Client Support Analyst
Coral Gables or Fort Lauderdale
HybridPart Time
0+ YOEEntry-level role requiring a bachelor's degree, FINRA SIE exam within 90 days, Microsoft Office proficiency, strong organization, accuracy, communication, and interest in financial markets.
Microsoft Office Suite, CRM
3d
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Senior Premier Banker Las Olas Centre Fort Lauderdale FL
Fort Lauderdale, Florida, United States
OnsiteFull Time
4+ YOERequires 4+ years customer service, 3+ years relationship-building and product recommendation experience, active or attainable FINRA and state insurance licenses, SAFE registration, and Saturday availability.
SAFE, Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials (SIE)
1mo
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Client Service Associate
Miami Beach, Florida, United States
OnsiteFull Time
2+ YOE2 years investment industry experience, high school diploma, administrative and clerical knowledge, customer service and communication skills; FINRA Series 7/66 or 63/65 preferred.
1mo
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Deputy Chief Compliance Officer
Birmingham or Miami or Winter Park or New York City
$120k-$170k/yr OnsiteFull Time
5+ YOEBachelor's degree or equivalent, FINRA Series 7 and 24 and Series 65 or 66, 5+ years compliance/financial services experience preferred, strong regulatory knowledge, advanced Excel skills.
Microsoft Excel, Microsoft Access
1w
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Associate, Global Network Banking
New York or Miami or San Francisco or Los Angeles
$117k-$175k/yr HybridFull Time
Experience in corporate banking with credit, financial analysis, KYC and cross-border banking; strong client engagement and coordination skills; FINRA SIE,S79,S63 required or obtained during contingency period.
1mo
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Senior Regional Consultant
Miami, Florida, United States
$95k/yr HybridFull Time
8+ YOEBachelor's degree or equivalent,8+ years related experience,FINRA Series 7 and 63 required,strong sales,communication and analytical skills,ability to travel extensively,English and Spanish proficiency preferred.
C360, CRM
2mo
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Wealth Management Branch Examiner
Houston or San Francisco or Miami or Chicago or New York
$70k-$125k/yr OnsiteFull Time
3+ YOE3+ years financial services experience; perform risk-based branch examinations, testing and inspections; strong communication, analytical and independent judgment; domestic travel ~30–40%; FINRA licenses a plus.
2w
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Customer Service Representative
Aventura, Florida, United States
$30-$40/hr HybridFull Time
1+ YOEActive FINRA registrations preferred,1+ years banking/brokerage/private banking experience,knowledge of KYC/CIP/AML and account opening,Spanish/English fluency,attention to detail and client communication skills.
Pershing, NetX360, DocuSign
1mo
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Market Supervision Manager - Fort Lauderdale, FL
Fort Lauderdale or Jacksonville or Greenville or West Palm Beach
$91k-$136k/yr OnsiteFull Time
5+ YOE3+ MgmtFINRA Series 7, 24, 66 required; 5+ years industry experience and 3+ years supervisory experience; bachelor's degree preferred; strong control, compliance, and operational background; ability to travel 50%.
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