Finra jobs in Atlanta, GA

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Atlanta Financial Representative
First Investors 68 reviews - Atlanta, GA
degree or equivalent work experience First Investors is a member of: FINRA (Financial Industry Regulatory Authority) ICI (Investment Company Institute) ASBO...
Sponsored by First Investors - 12 days ago
Senior Compliance Officer
Invesco 45 reviews - Atlanta, GA
environment (SEC, CFTC/NFA, FINRA, and ERISA... job duties) FINRA Series 65 attained within 180 days of employment is required. FINRA Series 7 is...
Sponsored by Invesco - 26 days ago

Regional Supervisory Officer - Greater Atlanta Area

PNC Bank 1,165 reviews - Alpharetta, GA
unlimited financial risk and can result in sanctions for the individual and firm up to and including censure, suspension or expulsion from FINRA for...
2 days ago - save job - email - more...

Investment Analyst Atlanta GA

Raymond James 130 reviews - Atlanta, GA
o FINRA Series 7 and 63 Licenses · Licenses/Certifications Preferred at Date of Hire:. o Series 65 or 66 o Group I - Life and Health Insurance License....
5 days ago - save job - email - more...

Compliance Analyst

American International Group 330 reviews - Atlanta, GA
• Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer...
11 days ago - save job - email - more...

VP, Recruiting

American International Group 330 reviews - Atlanta, GA
closing OSJs / Registered Representatives, evaluating potential OSJ’s business practices for profitability, risk and sustainability, reviewing FINRA and...
2 days ago - save job - email - more...

Investment Banking Associate Atlanta

Raymond James 130 reviews - Atlanta, GA
FINRA Series 7 License, or the ability to obtain within six (6) months of employment....
5 days ago - save job - email - more...

Compliance Consultant

TriNet Client - Atlanta, GA
Stay abreast of state, SEC and FINRA rule changes. Work with clients to customize compliance programs. Respond to client requests for information, questions...
TriNet - 30+ days ago - save job - email - more...

Business Development Specialist Alpharetta GA

TD Ameritrade 81 reviews - Alpharetta, GA
member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE:. AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company...
3 days ago - save job - email - more...

Regional Retirement Counselor

Prudential 551 reviews - Atlanta, GA 30303 (Five Points area)
FINRA Series 6 and 63 licenses required. Comprehensive knowledge of financial services and retirement planning industry....
7 days ago - save job - email - more...

Licensed Client Service Manager

HRCoach - Atlanta, GA
Qualified candidates will have their NASD/FINRA series 7, 66 and GA life/health licenses, an associate degree or higher, and 2+ years of similar work experience... $46,000 - $50,000 a year
15 days ago - save job - email - more...

401(k) Sales District Manager

ADP 826 reviews - Atlanta, GA
FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment....
Automatic Data Processing - 11 days ago - save job - email - more...
Regional Retirement Counselor
Prudential 551 reviews - Atlanta, GA
scheduled sessions Minimum 3-5 years financial services/retirement experience FINRA Series 6 and 63 licenses required State insurance license Ability to work...
Sponsored by Prudential - 7 days ago
In-Store Assistant Branch Manager 1, 2 or 3- Abbotts Village...
SunTrust 1,050 reviews - Alpharetta, GA
may hold at minimum: • Insurance licenses (Life, Health and/or Variable) • FINRA Series 6 and 63 registrations (or equivalent) • Maintain continuing education...
Sponsored by SunTrust - 30+ days ago
Corporate Recruiter
Investment Professionals, Inc. - Atlanta, GA
Education Requirements Bachelor’s Degree required FINRA Series 7 license required Financial/investment... other matter subject to FINRA disclosure regulations...
Sponsored by Investment Professionals, Inc. - 10 days ago

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Company with Finra jobs
68 reviews
First Investors, a recognized leader in financial services, operates in 26 states. Helping families achieve their financial goals.
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