Finra - Rockville, MD

All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of...

Estimated: $54,000 - $70,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

AdvisorNet Financial - Minneapolis, MN

Support the company's day-to-day RIA and broker dealer operations functions. The role delivers critical support to advisor teams and helps to provide...

Estimated: $37,000 - $50,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

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12d

Future Benefits Corporation - Bingham Farms, MI

Future Benefits Corporation is looking for the right person to join its entrepreneurial wealth management and financial planning team. The *Client Service...

Estimated: $37,000 - $54,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

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Prime Advisors, Inc. - Windsor, CT

Company Description Prime Advisors, Inc. manages investment portfolios for institutional clients, with $16.6 billion in assets as of November 30, 2017....

Estimated: $54,000 - $79,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

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Liquid M Capital - New York, NY

Our mission is to enable companies to raise capital via innovative digital private placement investments while doing so within the legal parameters set by the...

$65,000 - $80,000 a year3d

Choice Advisors - Brookfield, WI

Securities offered through Securities Service Network, Inc., Member FINRA/ SIPC. We are looking for an experienced Compliance Manager to ensure our company...

Estimated: $63,000 - $88,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Finra - Rockville, MD

All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of...

Estimated: $56,000 - $72,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Fifth Third Bank - Columbus, OH

#Maintain examiner relationships with the SEC and FINRA, and assist with regulatory examinations and internal audits....

Estimated: $78,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

4d

Fifth Third Bank - Cincinnati, OH

# FINRA Series 7, Series 24, 53, 63 and 79 (potentially Series 79). Fifth Third Bank is one of the top-performing banks in the country, with a heritage that...

Estimated: $93,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

12d

Arx Wealth Management - Vienna, VA

FINRA Series 7 (preferred) or 6 & 66 (or ability to become licensed within 120 days of hire). One of the top financial advisors in the Washington, DC area is...

Estimated: $38,000 - $54,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

9d

Robinhood - Lake Mary, FL

Implementation and Execution of back office related Written Supervisory Procedures to comply with all SEC and FINRA rules....

Estimated: $68,000 - $91,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Robinhood - Orlando, FL

FINRA Series 7 and 24 licenses. Implementation and Execution of AML Written Supervisory Procedures to comply with all, BSA, SEC and FINRA rules....

Estimated: $92,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

CPS, Inc. Retirement Industry - Cincinnati, OH

5+ years’ experience with retirement plans FINRA Series 6 or 7 license & FINRA Series 63/65 or 66 license Strong understanding of Investment Education....

$80,000 - $90,000 a year

NorthStar Financial Services Group, LLC - Hauppauge, NY

Knowledge and understanding of applicable SEC and FINRA rules and. We live our Core Values at Gemini on a daily basis and strive to hire world-class talent!...

Estimated: $52,000 - $75,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

13d

Prudential - Newark, NJ

Familiarity with applicable SEC and FINRA rules; A significant portion of this position's duties will consist of reviewing, revising, and approving a wide...

Estimated: $74,000 - $100,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Ameriprise Financial - Boston, MA

FINRA Series 7 or 6 preferred. Specific knowledge of FINRA and regulations and interpretations relating to advertisements by broker-dealers and investment...

MicroVentures - Austin, TX

FINRA Series 7, 63, 24 licenses (Candidates without the S-24 must obtain within 90 days as a condition of employment)....

Estimated: $80,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Spire Investment Partners - Reston, VA

FINRA Series 7 license preferred \*\*\*\*. ( FINRA licenses will be required to be obtained within (6) months of hire date, it will be a Condition of Employment...

Estimated: $30,000 - $42,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Cohen and Steers - New York, NY

Review and assist in the preparation of regulatory filings for the SEC, FINRA and NFA/CFTC. Highly successful investment manager with approximately $60 billion...

Estimated: $100,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Finra - New York, NY

To obtain an understanding of FINRA and how FINRA interrelates with the securities industry. Assist examiners in the examination of FINRA member firms, to...

Estimated: $51,000 - $74,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Finra - New Orleans, LA

All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of...

Estimated: $55,000 - $75,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Bank of America - Pennington, NJ

Job Description: The Enterprise Area of Coverage ("EAC") Compliance Manager is a subject matter expert responsible for contributing to the independent...

2d

Bank of America - Charlotte, NC

Job Description: The Enterprise Area of Coverage ("EAC") Compliance Manager is a subject matter expert responsible for contributing to the independent...

2d

Grellas Shah LLP - Cupertino, CA

Securities & Exchange Commission or FINRA, and in conducting internal investigations. Grellas Shah has a robust complex litigation practice, spanning the areas...

$50,000 - $60,000 a yearSponsored

Epic Weath - Red Bank, NJ

FINRA Series 7 and 63 (Required). Completion, and approval of, pre-hire process, including FINRA, criminal and credit background check....

Estimated: $90,000 - $120,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

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New York Life Insurance Company/NYLIFE Securities, LLC. - Mount Laurel, NJ

Job Summary NEW YORK LIFE IS HIRING NOW Financial Services Representative We ARE HIRING NOW FOR a full-time Financial Services Representative. * No...

Estimated: $52,000 - $71,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

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