Compliance Series jobs

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Advisor Associate
Liberty Bank - 41 reviews - Middletown, CT
A FINRA Series 7 and 63 Securities Licenses are strongly preferred. Assists Investment Program Director and the Administrative Manager in the maintenance of the...
Virtual Financial Advisor (Scottsdale, AZ)
FINRA Series 66. FINRA Series 7 required. Ensures firm and regulatory policies are followed within compliance standards. Description Job Summary:....
Sr. Financial Consultant - Downtown Chicago, IL
TD Ameritrade - 265 reviews - Chicago, IL 60602
Series 7 required/Series 66 (or 63/65) (must pass Series 66 within 90 days of hire). The primary role of the Senior Financial Consultant at TD Ameritrade will...

Merrill Lynch Administrative Manager

Bank of America - 15,602 reviews - Buffalo, NY 14202 (Central Business District area)  +6 locations
Series 3, 31 licenses, if warranted. Series 7,66 (or equivalent),9,10 (or equivalent) Licenses. The Administrative Manager functions as a member of the branch...

Compliance Analyst, Capital Services

AIG - 1,265 reviews - Jersey City, NJ
Series 6/26 or 7/24 and 63 preferred. (“ACS”) compliance team supporting multiple activities of the wholesale broker dealer compliance functions related to...

Associate Complex Manager - Atlanta, GA

RBC - 1,398 reviews - Atlanta, GA
Implement and maintain a compliance documentation system and coordinate compliance inspections and reviews....

Administrative Complex Manager - St. Paul, MN

RBC - 1,398 reviews - Saint Paul, MN  +2 locations
Series 7, 8 (or 9/10) and 63, 65 (or 66). You will report directly into the Complex Director and work closely with Operations, Compliance, and the Financial...

Vulnerability Compliance Analyst

Veris Group - 7 reviews - Alexandria, VA
Familiarity with information and cyber security regulatory requirements and standards (such as DoD 8500 series directives, NIST 800 series standards)....

Asset Management, GWM Risk & Control Associate, Newark, DE

JPMorgan Chase - Asset Management - 12,553 reviews - Newark, DE
Operations Manager Series 99 Certification required or can be obtained within 120 days. Broad responsibilities include managing Control Reviews, supporting RCSA...

Merrill Edge Administrative Manager

Bank of America - 15,602 reviews - San Francisco, CA 94104 (Financial District area)  +3 locations
Familiarity with compliance and regulatory issues. Review and maintain all Compliance and Regulatory Correspondence....

Wealth Management Compliance Surveillance Analyst

Morgan Stanley - 1,698 reviews - Baltimore, MD  +1 location
Series 7 licensed a plus. Interaction with senior members of Compliance and the Risk Organization. Professionals within Legal and Compliance provide a wide...

Advertising Compliance Analyst

Advisor Group - 5 reviews - Phoenix, AZ
Assist with compliance projects including, but not limited to:. The ideal Advertising Compliance Analyst will review retail communications and other external...

Compliance Analyst Advisory

Cetera Financial Group - 9 reviews - United States
Experience in compliance. Series 24 will be need. Advisory Compliance Analyst for our company’s office located in either El....
Compliance Advisor- Branch Inspections
Lincoln Investment Planning, LLC - Fort Washington, PA
Series 7, 24 and 65 or 66 required. Provide back-up support to other Compliance team members as needed. Position involves conducting compliance examinations of...
Financial Consultant - Tampa, FL
TD Ameritrade - 265 reviews - Tampa, FL 33607
Series 7 preferred/Series 66 (or 63/65) (must pass Series 66 within 90 days of hire). A Financial Consultant at TD Ameritrade will be to assess, assist, and...

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