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.
3d
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Financial Advisor - Houston, TX - Market 24, Region 323
Houston, Texas, United States
$45k-$100k/yr FieldFull Time
Qualifications include obtaining SIE, Series 7 and Series 66 registrations, state insurance licenses; bachelor's degree preferred or equivalent experience; financial services or sales experience and completion of firm training.
4w
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Senior Associate, Agency Standards Compliance Manager (Melville, NY, US)
Melville, New York, United States
$81k-$116k/yr OnsiteFull Time
2+ YOEBachelor's or equivalent experience, minimum 2 years industry experience, Series 7 & Series 24 (or obtain 24 within 90 days), Series 65/66 or ChFC (or obtain within 12 months), FINRA fingerprinting, strong communication and analytical skills.
2mo
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Senior Director, Wealth Management - Minneapolis, MN
Minneapolis, Minnesota, United States
$152k-$176k/yr HybridFull Time
8+ YOE8+ years in financial services; FINRA licenses (Series 7,63,65,66); Series 24 preferred; 10+ years preferred; leadership experience.
2mo
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Advertising and Supervision Analyst
Austin or Tempe
RemoteFull Time
5+ YOEBachelor’s degree preferred; minimum 5 years industry experience; SEC/FINRA advertising knowledge; Series 7, Series 24 required; Series 66 within 3 months
1mo
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Sales Supervision Mgr
Minneapolis or Charlotte or Troy
$87k-$120k/yr HybridFull Time
5+ YOEBachelor's degree, 5+ years relevant experience, active SIE, ability to obtain Series 7, Series 24 and Series 63/66 as required; strong communication, analytical, and supervisory skills.
2mo
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AVP, Financial Consulting
San Diego, California, United States
$90k-$98k/yr OnsiteFull Time
7+ YOE1+ Mgmt7+ years asset/wealth distribution; FINRA Series 7/66 required; Series 24 preferred; Bachelor’s degree; CFA/CFP a plus.
2mo
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Surveillance Analyst
United States
RemoteFull Time
3+ YOE3+ years in financial services with compliance experience; Series 7, 63, 24 required; Series 65/66 preferred; college degree preferred.
Microsoft Office
2mo
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Surveillance Analyst
United States
RemoteFull Time
3+ YOE3+ years in financial services; compliance experience; Series 7, 63, 24 required; Series 65/66 preferred; college degree preferred.
1mo
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Advisory Billing & Reporting Manager
St Louis, Missouri, United States
OnsiteFull Time
5+ YOE5+ years in finance/accounting; bachelor's in accounting or finance; medallion signature guarantee; SIE; Series 7; Series 66; Series 24 (preferred); strong billing, data systems, and reporting skills.
Microsoft Suite, Excel, Outlook, Word, Visio, PowerPoint, Orion Technology, Salesforce
2mo
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Senior Regional Compliance Associate
Irving or Dallas
HybridFull Time
5+ YOE5+ years in financial services compliance or supervisory role; Series 66 and Series 24; strong FINRA/SEC rule knowledge; bachelor’s degree or higher.
2mo
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Team Manager, Executive Relationship Management
Alpharetta or Denver or Sandy or Gilbert or Tampa
$85k-$140k/yr OnsiteFull Time
5+ YOE5+ years experience; registrations: SIE, Series 7, Series 63 OR 66, Series 9/10 or 4/24/53; ability to obtain Mass Registration & Trader Certification; bachelor's degree preferred.
2w
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Director, Fixed Income Trading (Open To Location)
New York City or Houston or Chicago or Dallas or Florida or Charlotte
HybridFull Time
12+ YOEBachelor's in finance/accounting/economics, 12+ years in banking or capital markets, SIE/Series 7/Series 63 required, Series 24 preferred, Bloomberg proficiency, strong leadership and risk management skills.
Bloomberg
1w
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Trading Support Specialist
Houston, Texas, United States
OnsiteFull Time
3+ YOE3+ years financial services experience in trading/error correction, Series 7 and Series 66 required (or obtain in 60 days); Series 24 and 53 encouraged; strong trading operations, communication and analytical skills.
3mo
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Compliance Officer - Investment Advisory
Miami, Florida, United States
OnsiteFull Time
5+ YOEBachelor’s degree or equivalent, FINRA Series 7/65/66 and 24 required; Series 14 and/or IACCP preferred; 5 years in compliance or related field preferred.
MS Excel, MS Access, Power BI
1w
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Supervisory Principal
Fairfield or Phoenix
HybridFull Time
2+ YOE2+ years experience in supervision, compliance, or brokerage operations; FINRA Series 7 and Series 24 required; strong judgment, risk assessment, communication, and regulatory knowledge.
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
2mo
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Trade Operations Support Specialist
Hartford or Greenville or Marlton or Exton
$72k-$108k/yr OnsiteFull Time
3+ YOE3+ years industry experience; Series 7 and 24; undergraduate degree preferred or equivalent experience.
NetX360, Regulatory reporting
1mo
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Emerging Affluent California Region Leader
Tempe or California or Los Angeles County or San Francisco or United States
$144k-$169k/yr OnsiteFull Time
10+ YOE5+ MgmtBachelor's in Accounting/Finance (or equivalent); 10+ years investment experience with 5+ years managerial experience; FINRA SIE, Series 7, Series 66, Series 24; strong securities knowledge, leadership, and client-facing skills.
2mo
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Financial Services Specialist (US)
United States
HybridFull Time
5+ YOE5+ years in financial reviews and servicing; licenses required: SIE, Series 6/7, 26/24, 63; Series 65; Bachelor's preferred; CFP/CHFC preferred.
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