Compliance Series jobs

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Compliance Examiner - FINRA Series 7 & 24 Required (Norcross...
Cambridge Investment Research 11 reviews - Georgia
Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, Series 63, and Series 65 or Series 66 licenses are required....
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Chief Compliance Officer
Confidential - Broker Dealer - New York, NY
Series 7, 63, 24. Monitor business performance with compliance, and alert management to compliance gaps and issues. Series 7, 63 & 24 licenses....
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Branch Inspector
Independent Financial Group - San Diego, CA
Series 7 and 63 required for hiring. Series 24 must be obtained within 90 days. Assist the Chief Compliance Officer with regulatory inquiries and audits....
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Senior Compliance Analyst

Interactive Brokers 7 reviews - Greenwich, CT 06830
Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 and Series 4 registration)....

WBS REGIONAL BROKERAGE MGR

Wells Fargo 10,413 reviews - Irvine, CA  +2 locations
Compliance with state law requirements is required. Registration for FINRA Series 66 (or 63 and 65) must be completed within 90 days of hire date....

Supervisory Principal

Citi 2,875 reviews - New York, NY
Assist with office audits, compliance testing. Interface with Legal, Compliance and Control partners as necessary....

INSTITUTIONAL SALESPERSON

BB&T 876 reviews - Boston, MA
Financial Industry Regulatory Authority Series 7 and 63 licenses3. Develop and maintain a profitable level of securities sales that meet recognized needs of...

Compliance Solutions - Sr Relationship Manager

Charles Schwab 340 reviews - New York, NY 10002 (Lower East Side area)
Series 7 and 63 licenses required. Compliance Solutions, the leading provider of service, technology and consulting support tailored to meet the needs of...

Regional Supervisory Officer

UBS 658 reviews - San Francisco, CA 94104 (Financial District area)
SUPERVISION AND COMPLIANCE. Provide input to compliance policy and support communication of compliance policies to Complexes....

Compliance Examiner

Wedbush Securities 17 reviews - Los Angeles, CA 90017
Compliance, series 7, series 24. Conduct ongoing compliance meetings. Our Los Angeles office is seeking a Compliance / Business Conduct Examiner to be...

401k Wholesaler

Mutual of Omaha 197 reviews - Nashville, TN  +1 location
Licensed agent, Series 6 or 7 and 63 and FINRA Registered Representative. Identify plan design, demographics, required services, assets and other pertinent...

Regulation and Policy Manager - Compliance

Robert W. Baird 18 reviews - Milwaukee, WI
Minimum of 5 years industry compliance experience Must hold or be willing to quickly obtain Series 7, 9/10, 24 and 66 licenses AutoReqId 4569BR....

Client Associate/Registered Client Associate - Dallas, TX

RBC 345 reviews - Dallas, TX  +4 locations
Series 63 license (or the equivalent of a Series 66 may be required pursuant to regulations) or ability to obtain within the first 6 to 12 months on the job if...
Supervision Manager/Administrative Manager
Bank of America 12,268 reviews - Hunt Valley, MD
Familiarity with compliance and regulatory issues. Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role....
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Compliance Analyst
Investment Professionals, Inc. - San Antonio, TX
FINRA license series 7, 24 required; Series 4, 9, 10, & 53 preferred. Conduct suitability review on new account applications, supporting documentation ensuring...
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Company with Compliance Series jobs
Cambridge Investment Research, Inc. (Cambridge) is among the largest independent, privately controlled broker-dealers in the U.S.