11 series 24 jobs at 8 companies in Denver, CO
3mo
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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.
2mo
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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.
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
2mo
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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
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 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