NASDAQ-Rockville, MDEstimated: $62,000 - $86,000 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.

Coordinate with FINRA, other SROs and the SEC as appropriate. Nasdaq is looking for a talented investigator to join a small but growing Investigations and...

TAX & FINANCIAL GROUP-Newport Beach, CA $50,000 - $75,000 a year

Assistance in obtaining Life & Health License, Series 7 and 66 FINRA registrations, CFP, CLU, and CHFC, AIF designations....

Epic Weath-Red Bank, NJEstimated: $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.

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

Stratos Wealth Partners-Los Gatos, CAEstimated: $40,000 - $52,000 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 Series 6/7 preferred. Stratos Wealth Partners is seeking an organized, enthusiastic, detail oriented individual to work approximately 30 hours per week as...

Finra-Rockville, MDEstimated: $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.

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...

Finra-Rockville, MDEstimated: $57,000 - $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.

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...

TD Ameritrade-Short Hills, NJEstimated: $42,000 - $56,000 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.

Examiners may participate in Oversight Reviews, an in-depth analysis of certain business units according to FINRA, SEC, MSRB and other rules and regulations....

TD Ameritrade-Atlanta, GAEstimated: $39,000 - $57,000 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.

Examiners may participate in Oversight Reviews, an in-depth analysis of certain business units according to FINRA, SEC, MSRB and other rules and regulations....

TD Ameritrade-Phoenix, AZEstimated: $38,000 - $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.

Examiners may participate in Oversight Reviews, an in-depth analysis of certain business units according to FINRA, SEC, MSRB and other rules and regulations....

Waddell and Reed-Overland Park, KSEstimated: $45,000 - $63,000 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.

Remain familiar with current FINRA and state regulatory issues as well as the company’s own written supervisory procedures....

D.A. Davidson & Co.-Seattle, WAEstimated: $39,000 - $51,000 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.

Invite a friend Back to job search Job Description D.A. Davidson & Co. is a full-service investment firm. It provides personalized advice on stocks, bonds,...

Newport Group-Lake Mary, FLEstimated: $56,000 - $80,000 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.

Working knowledge of the Investment Advisors Act of 1940 and FINRA Rules and Regulations,. S/he will oversee Newport Group’s Investment Advisor’s compliance...

Finra-Rockville, MDEstimated: $50,000 - $68,000 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.

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...

CPS, Inc. Retirement Industry-Chicago, IL $50,000 - $60,000 a year

They require a clean FINRA Series 6, 63 and Life and Health licensing. We are seeking a Retirement Plan Sales Consultant to join our client's team!...

Northwestern Mutual Life Insurance Company-Franklin, WIEstimated: $33,000 - $45,000 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 Series 63. FINRA Series 63 (or willing to obtain within a specific timeframe). FINRA Series 6 (or willing to obtain within a specific timeframe) or....

Morgan Stanley-New York, NYEstimated: $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.

MBA or JD a strong plus • Active FINRA & State Licenses:. Morgan Stanley is currently seeking candidates for several Risk Analyst positions to join the...

Securities Compliance Management-Alpharetta, GAEstimated: $46,000 - $65,000 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.

Performing aspects of AML audits pursuant to FINRA Rule 3310. Working with and assisting clients in drafting and submitting documents related to FINRA member...

Robinhood-Orlando, FLEstimated: $64,000 - $87,000 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.

They will be responsible ensuring deadlines and service levels are met, and for compliance with Firm policy, SEC rules, and FINRA regulations....

MetLife-Bridgewater, NJEstimated: $58,000 - $78,000 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.

Job Location: United States : New Jersey : Bridgewater Role Value Proposition: This position is an Individual Contributor role in MetLife’s U.S. Business...

Northland Securities, Inc.-Newport Beach, CAEstimated: $53,000 - $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.

Able to attain FINRA Series 7 and 63 within 6 months from start date. Northland Securities, Inc....

T3 Trading Group-New York, NYEstimated: $65,000 - $82,000 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.

Obtain FINRA Series 57 License. Buying power based on experience and performance Competitive cost and fee structures On-site entry level training programs...

Fragasso Financial Advisors-Pittsburgh, PAEstimated: $47,000 - $63,000 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.

*Job Summary* *Investment Analyst* Fragasso Financial Advisors is a prominent Pittsburgh-based financial investment planning firm. We are passionate about...

Pettinelli Financial Partners-Redwood City, CAEstimated: $57,000 - $77,000 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 registration with a minimum of 6 and 65, but 7 and 66 preferred. Opportunity in Wealth Management*....

Gateway Services Group-Westminster, COEstimated: $46,000 - $65,000 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 Series 7, 66 or 65 license and Colorado Life and Health Insurance License. GSG and our Credit Union client are looking for just the right salesperson for...

AXA Advisors of Edison, NJ-Edison, NJEstimated: $57,000 - $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.

State life and health licenses, FINRA Series 6 or 7 and 63 registrations. A four-year college degree is preferred and relevant professional FINRA securities...


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