13 series 24 jobs at 9 companies in Colorado
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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.
2mo
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Customer Experience Specialist, Executive Office
Chicago or Denver or Westlake
$34-$40/hr OnsiteFull Time
2+ YOEFINRA Series 7 and 63 required, 2+ years customer support experience in financial services, Series 24/9/10/66 preferred, strong analytical, investigative, and communication skills.
1mo
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VP, Divisional Administrative Manager
California or North Dakota or Washington or Texas or South Dakota or Wyoming or Oregon or Missouri or Oklahoma or Minnesota or Nevada or Montana or Iowa or Kansas or Illinois or Louisiana or Idaho or New Mexico or Colorado or Nebraska or Arizona or Utah or Arkansas
$143k-$238k/yr RemoteFull Time
10+ YOE5+ Mgmt10+ years progressive leadership in financial services, FINRA Series 7 and 66 required (Series 24 preferred/obtainable), 5+ years leading large distributed teams, ability to travel up to 20%.
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Team Manager, Executive Relationship Management
Gilbert or Alpharetta or Sandy or Denver or Tampa
$85k-$140k/yr OnsiteFull Time
5+ YOE5+ years industry experience; required registrations (SIE, Series 7, Series 63 or 66, Series 9/10 or 4/24/53) and ability to obtain Mass Registration & Trader Certification; leadership, sales, securities knowledge, strong communication and PC/online skills.
1mo
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VP, Divisional Administrative Manager
California or North Dakota or Washington or Texas or South Dakota or Wyoming or Oregon or Missouri or Oklahoma or Minnesota or Nevada or Montana or Iowa or Kansas or Illinois or Louisiana or Idaho or New Mexico or Colorado or Nebraska or Arizona or Utah or Arkansas
$143k-$238k/yr RemoteFull Time
10+ YOE5+ Mgmt10+ years progressive leadership in financial services, FINRA Series 7/66 required (Series 24 preferred), 5+ years leading large distributed teams, ability to travel up to 20%, bachelor’s degree preferred.
2w
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Sr. Compliance Analyst - Supervision & Oversight
Centennial or Omaha
$69k-$84k/yr OnsiteFull Time
3+ YOEHigh school diploma or equivalent; 3+ years in financial services compliance, operations, or supervision; FINRA Series 7/63/66 required and Series 24 obtainable within 120 days; regulatory, analytical, and communication skills.
Microsoft Word, Microsoft Excel
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Compliance Manager
Denver or San Francisco or New York
$111k-$165k/yr HybridFull Time
5+ YOE5+ years compliance experience at FINRA-registered broker-dealers and SEC-registered investment advisers; active SIE, Series 7, Series 24; experience with advertising review, supervisory testing, books & records rules, ComplySci and Global Relay; AI governance familiarity.
ComplySci, Global Relay
2w
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Business Development Desk Manager
Denver or Westlake or Chicago or Menlo Park or New York City or Bellevue or Washington or Lake Mary or Clearwater or Gainesville
$109k-$128k/yr OnsiteFull Time
5+ YOERequires 5+ years in sales coaching, leadership, or financial services; clean U5; SIE, Series 7, 66, and 24 or 9/10; experience with compliant sales supervision and asset consolidation.
AI
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Senior Associate Director, Distribution Compliance
Denver, Colorado, United States
$130k-$150k/yr HybridFull Time
10+ YOEFINRA SIE, Series 7 and 24 required; 10+ years financial services experience with marketing/advertising compliance; deep SEC/FINRA/CFTC knowledge; strong communication and workflow/system experience.
Red Oak
1mo
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Senior Director, Compliance - Broker Dealer & RIA
Denver or Cedar Rapids or Baltimore or Philadelphia
$165k-$190k/yr HybridFull Time
12+ YOE12+ years regulatory compliance/financial services experience, FINRA Series 7/24 or 6/26, leadership of compliance teams, strong regulatory knowledge (FINRA/SEC), executive communication, and experience with compliance programs.
Microsoft Office
3w
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Wealth Advisor Regional Sales Manager - PNC Wealth Management
Pepper Pike or Chicago or Phoenix or Atlanta or Indianapolis or Pittsburgh or Denver or Detroit or Columbus
$123k-$200k/yr OnsiteFull Time
8+ YOE5+ MgmtBachelor's degree, 8+ years of industry-relevant experience, 5+ years of management experience, leadership expertise, sales management skills, and FINRA Series 7, 24 or 9/10, and 66 or 63/65 licenses.
Sales tools, reporting tools
1mo
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Senior Associate Director, Distribution Compliance
Denver, Colorado, United States
$130k-$150k/yr HybridFull Time
10+ YOEFINRA SIE, Series 7 and 24 registrations; 10+ years in financial services with marketing/advertising compliance focus; deep SEC/FINRA/CFTC knowledge; experience reviewing marketing materials; workflow and compliance systems experience.
Red Oak
1mo
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Field Development Supervisor - Indianapolis, IN.
Indianapolis or Denver
$65k/yr FieldFull Time
3+ YOEActive life and health license, 3+ years field experience selling insurance products, required FINRA registrations (SIE, Series 6/7, 63, 65/66, 24/26 per timelines), ability to travel up to 65% and work from an office as needed.
Salesforce, Microsoft Office