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Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra - 36 reviews - New York, NY
FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place...
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Personal Financial Representative
FINRA Series 6 and 63 Securities Licenses. Personal Financial Representative*....
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Relationship Banker - Culver and Walnut - Irvine, CA (Bi-Lin...
FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required - or must be successfully completed within 120 days of...
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Examiner - Member Regulation, Sales Practice - San Francisco...

Finra - 36 reviews - San Francisco, CA 94104 (Financial District area)  +8 locations
FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place...

RIA Surveillance Regulatory Analyst

Deutsche Bank - 811 reviews - Baltimore, MD
Job ID: 3123298 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2016-04-20 Location: Baltimore, Jacksonville, United States of America As a...

Complex Risk Officer

Morgan Stanley - 1,463 reviews - Charlotte, NC  +8 locations
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and...

Regulatory Analyst,Options Regulation- New York, NY

Finra - 36 reviews - New York, NY
FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place...

FINRA Compliance Analyst

Paychex - 534 reviews - Kent, WA 98032  +5 locations
FINRA Series 6, 63 & 26 licenses required. Supports all regulatory requirements for registered persons including FINRA and state registration and maintenance....

Relationship Banker - Dacula and Fence - Dacula, Georgia

JPMorgan Chase - 10,310 reviews - Dacula, GA  100+ locations
FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required - or must be successfully completed within 120 days of...

Senior Compliance Analyst - Monitoring

Pioneer Investments - 17 reviews - Boston, MA
Position requires minimum FINRA Series 6 and 26 registrations, Series 7 and 24 preferred. Performs the review of communications of assigned employees with...

PCG Fin Rltnshp Trainee

Wells Fargo - 13,313 reviews - Knoxville, TN  +19 locations
Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized equivalents must be obtained to remain in this position. PCG Fin Rltnshp Trainee....

WFA Assoc Fin Advisor 1

Wells Fargo - 13,313 reviews - Leesburg, VA  +2 locations
Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized equivalents must be obtained to remain in this position. WFA Assoc Fin Advisor 1....

Supervisory Officer

UBS - 726 reviews - Pittsburgh, PA  +1 location
Are you risk averse, but risk aware? Do you enjoy building a culture of compliance? We are looking for someone like this to: - develop metrics to evaluate and
Financial Representative - San Antonio, TX
FINRA series 7 and series 63 licenses allowing you to provide fundamental. Financial Representative - San Antonio, TX....
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Financial Services Representative (Colo Springs)
T. Rowe Price - 122 reviews - Colorado Springs, CO
Financial Services Representative Do you enjoy helping others identify solutions that help achieve their goals? Do you like problem-solving, digging deeper to
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Company with Finra jobs
At Fidelity Investments, you'll discover challenges that excite you as you develop professionally and explore many career paths.