14 series 24 jobs at 7 companies in Eagan, MN
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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.
1w
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Sales Supervision Principal
Atlanta or La Vista or Oakdale or Scottsdale or St. Petersburg
$65k-$75k/yr HybridFull Time
1+ YOERequires 1–2 years of related experience, Series 7, Series 63 or 66, and Series 24, 8, or 9/10. Requires alternative investment knowledge, analytical skills, communication, and task prioritization.
Sales Supervision pre-approval platform
3w
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Compliance Examiner
Great Falls or Denver or Minneapolis
$54k-$80k/yr RemoteFull Time
FINRA SIE, Series 7, Series 65/66, and Series 9/10 or 24 required; bachelor’s preferred; compliance experience (2+ preferred) and industry experience (5+ preferred); strong written/oral skills; willingness to travel >35%; proficient with Microsoft Outlook/Word/Excel.
Microsoft Outlook, Microsoft Word, Microsoft Excel, Comply
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Compliance Representative
Cincinnati or Charlotte or Tempe or Saint Paul
$76k-$89k/yr OnsiteFull Time
3+ YOEBachelor's or equivalent, typically 3+ years' relevant experience, Series 7/24/63 or 66 required, Series 4 required or to obtain within 180 days, knowledge of financial regulations and strong analytical and communication skills.
Microsoft Office
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Supervision Principal, Electronic Communications Supervision
La Vista or Oakdale or Scottsdale or St. Petersburg or Atlanta
$70k-$75k/yr HybridFull Time
2+ MgmtFINRA Series 7 and 24 (or 9/10) required, bachelor’s preferred, 2+ years principal experience preferred, strong regulatory knowledge and communication skills.
3w
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Sr Director, Business Unit Risk & Compliance Liaison - Wealth Management
Minneapolis or Charlotte
$150k-$206k/yr HybridFull Time
10+ YOEBachelor's or equivalent,10+ years financial services risk experience, Series 7 and 24 required, strong broker-dealer regulatory knowledge, leadership and audit/governance experience.
3w
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Sr. Manager, Business Unit Risk & Compliance Liaison - Wealth Management
Minneapolis or Charlotte
$93k-$128k/yr HybridFull Time
5+ YOE5+ years in financial services/risk/compliance or related experience, bachelor’s degree or equivalent, Series 7 and 24 (or ability to obtain), strong analytical and communication skills, ability to influence stakeholders.
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Manager, Supervision
Dallas or Saint Paul
HybridFull Time
5+ YOEBachelor's degree or equivalent experience,5+ years industry experience,broker-dealer supervision experience,Series 7/24/66 and FINRA registration preferred,leadership,project management,attention to detail.
Microsoft Excel, Microsoft PowerPoint
1w
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Sales Supervision Principal
Atlanta or La Vista or Oakdale or Scottsdale or St. Petersburg
$65k-$75k/yr HybridFull Time
1+ YOERequires high school diploma, 1–2 years of related experience, FINRA Series 7, 63/66, and 24/8/9-10 licenses, plus alternative investment knowledge and analytical skills.
Delaware Statutory Trusts (DSTs)
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Sr. Manager, Operations
Minneapolis, Minnesota, United States
OnsiteFull Time
5+ YOE5+ years financial services experience, FINRA Series 7/24/66/6, bachelor’s degree preferred, strong knowledge of FINRA/SEC/AML/BSA, leadership, process improvement, and regulatory compliance.
Pershing
2mo
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Regional Supervision Manager
Scottsdale or Oakdale or La Vista or St. Petersburg or Atlanta
$70k-$80k/yr HybridFull Time
3+ YOE3+ years conducting suitability/best-interest transaction reviews; FINRA Series 7, 24 and 63/65/66 required; bachelor’s preferred; strong analytical, communication, and compliance knowledge of FINRA/SEC.
1mo
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Sr. Manager, Operations
Minneapolis, Minnesota, United States
OnsiteFull Time
5+ YOE5+ years financial services experience, FINRA Series 7/24/66/6 registration, bachelor’s degree preferred, strong knowledge of FINRA/SEC/AML regulations, leadership and operational process improvement skills.
Pershing
1w
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Sales Supervision Principal
Scottsdale or Oakdale or La Vista or St. Petersburg or Atlanta
$65k-$75k/yr HybridFull Time
1+ YOEHigh school diploma or equivalent required; 1–2 years related experience; FINRA Series 7, 63 or 66, and 24, 8, or 9/10 required. Requires annuity knowledge and strong analytical and communication skills.
Sales Supervision pre-approval platform
1w
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Sales Supervision Principal
Atlanta or La Vista or Oakdale or Scottsdale or St. Petersburg
$65k-$75k/yr HybridFull Time
1+ YOEHigh school diploma or equivalent required; bachelor's degree preferred. Requires 1–2 years of related experience, annuity and alternative investment knowledge, FINRA Series 7, 63 or 66, and 24 or 8 or 9/10 licenses.