Finra jobs - Hanover, MD
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| May 31 | Experienced Employee Financial Advisor Job | Ameriprise | Rockville, MD |
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Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more |
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| May 31 | Wealth Compliance Group Mgr. Retail Investments | TD Bank | Laurel, MD |
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and legal requirements of the SEC, FINRA and general state securities and ... field or equivalent business experience FINRA Series 7 and 24 registration required -... more |
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| May 30 | Senior Storage/Backup Administrator | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 30 | Public Offerings Analyst | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 29 | INVESTMENT COUNSELOR | Branch Banking and Trust Company | Washington, DC |
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7 Financial Industry Regulatory Authority (FINRA) Registered Representative and 63 State licenses. 3. Life, Accident & Health Insurance license. 4. 1-3 years securities sales... more |
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| May 25 | 401(k) District Manager Job | ADP | Rockville, MD |
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1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, ... Strong track Required licensing: FINRA Series 6 and 63. Strong organization,... more |
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| May 25 | Principal | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 22 | Peoplesoft HCM Functional Analyst | Infostar International Pvt | Washington, DC |
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needs, and any applicable industry and / or FINRA standards for a small project, product and / or program or a major component(s) of a larger project, product and / or program. more |
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| May 14 | Broker-Dealer Senior Attorney/Counsel | Washington, DC | |
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and other market players regarding SEC, FINRA, NYSE and other securities regulations.While this innovative full-service firm has grown to almost significantly in one generation,... more |
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| May 12 | 401(k) District Manager | Automatic Data Processing | Rockville, MD |
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1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... more |
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| May 10 | Client Support Specialist | Tiaa-cref | Washington, DC |
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Qualifications QUALIFICATIONS * Requires FINRA Series 7 and 63 licenses * Working knowledge and understanding of financial markets, products and services * Demonstrated... more |
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| May 07 | Operations Lead | Lincoln Financial Group | Lutherville, MD |
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experience in a financial services company * FINRA Series 7 preferred and desire to obtain Series 24. Other Skills and Abilities: * Strong verbal and written communications *... more |
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| May 04 | FINRA Extern - Office of the Ombudsman | Finra | Rockville, MD |
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to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... about operations, enforcement or other FINRA activities. Externs perform a variety... more |
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| May 02 | Branch Financial Advisor | PNC | Washington, DC |
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financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required. * Life Insurance License required. * Bachelor's degree preferred with an emphasis on... more |
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| Apr 28 | Compliance Analyst - Equity Trading | Stifel Nicolaus Weisel | Baltimore, MD |
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* Research and respond to SEC and FINRA regulatory inquiries. * Assist Firm's ... policies and procedures as well as SEC and FINRA rules and regulations. KNOWLEDGE,... more |
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| Apr 28 | Associate Counsel | TD Ameritrade | Columbia, MD |
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legal advice on issues concerning SEC, FINRA, federal and state rules and regulations * Advise the business as to day-to-day operations of the business in compliance with... more |
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| Apr 20 | Regulatory Compliance Analyst Internship | Gryphn | Washington, DC |
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to folks who are experts on HIPAA, HITECH, FINRA regulations, SOX, and the list goes on and on. You'll probably also meet former CEOs with a lot to say on this matter (or at least... more |
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| Apr 06 | District Manager | MONY Group | Washington, DC |
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Company strategy. A commitment to obtaining FINRA registrations, industry licenses and designations would be required to join our team of respected sales managers. We offer a... more |
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| Apr 02 | OPERATIONS SUPERVISOR - CAPITAL MARKETS | Stifel Nicolaus | Baltimore, MD |
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obtain within 6 months). Solid knowledge of FINRA and other Industry rules that affect the business. Strong understanding of Fidessa Trading System as well as Thomson/Beta... more |
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| Mar 23 | Financial Representative - Eastern Washington/Northern Idaho | Thrivent Financial For Lutherans | Washington, DC |
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Ave. S., Minneapolis, MN, 55415-1624. Member FINRA and SIPC. Obtain state insurance licenses with required lines of authority (life, health & variable contracts) prior to the... more |
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| Mar 23 | Compliance & Operations Manager | Beacon Staffing | Towson, MD |
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office meets compliance standards of FINRA and SEC; assisting in the maintenance of compliance files Reviewing and assisting in completion of paperwork for advisors Handling... more |
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| Dec 14 | Portfolio Analyst | CFS Consulting Services | Washington, DC |
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MBA and/or CFA/CIMA significant plus. FINRA Series 7 license 5-10 years experience with at least 3-5 years in a similar role. Solid understanding of and the ability to calculate... more |
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| Nov 28 | Compliance Analyst - Equity Trading | Stifel Financial | Baltimore, MD |
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Trading. . * Research and respond to SEC and FINRA regulatory inquiries. * Assist Firm??s ... policies and procedures as well as SEC and FINRA rules and regulatioNS. * Bachelor??s... more |
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| Oct 03 | District Manager | AXA Equitable | Washington, DC |
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Company strategy. A commitment to obtaining FINRA registrations, industry licenses and designations would be required to join our team of respected sales managers. We offer a... more |
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| Nov 29 | Financial Services Representative | MetLife | Falls Church, VA |
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* Have or willing to obtain appropriate FINRA Registration and State Licensing: Life/Health, Series 6/7, 65/66, 63 as applicable * High School Diploma or Equivalent * Must be a US... more |
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