Finra jobs in Atlanta, GA

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Practice Coordinator
HRCoach - Sandy Springs, GA
Ability to adhere to rules and regulations as stated and required by Advisor and the FINRA. A dynamic, Private Wealth Financial Planning practice is seeking a...
Sponsored by HRCoach  - 3 days ago
Anticipated Private Client Advisor - Chase Private Client -...
JPMorgan Chase 6,932 reviews - Atlanta, GA
Series 7 & 63 registration required in addition to meeting FINRA continuing education requirements, Series 65 or 66 registration required and the appropriate...
Sponsored by JPMorgan Chase  - 4 days ago
Senior Compliance Officer
Invesco 64 reviews - Atlanta, GA
Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, and ERISA). Is a leading independent global investment management firm, dedicated to helping...
Sponsored by Invesco  - 30+ days ago

Senior Relationship Management Specialist-Atlanta

Securian 2 reviews - Atlanta, GA
Maintains credentials, i.e. life/variable life licenses, FINRA Series 6 & 63, AIF and other needed industry training. Plan Sponsor Servicing....

Institutional Equity Sales

Citi 2,541 reviews - Atlanta, GA
FINRA licenses (7 & 63) preferred, not required. Citi Markets is currently seeking a US Institutional Equity salesperson for coverage of the Southeast region....

Practice Coordinator

HRCoach - Sandy Springs, GA
Ability to adhere to rules and regulations as stated and required by Advisor and the FINRA. A dynamic, Private Wealth Financial Planning practice is seeking a...

Senior Relationship Manager, Select Market

TIAA-CREF 224 reviews - Atlanta, GA 30319
FINRA Series 6 or 7 and 63 registrations (strongly preferred the individual possess licenses currently) or the ability to obtain within 90 days of hire required...

Financial Services Professional

The Piedmont Group of Atlanta, LLC - Atlanta, GA
MML Investors Services, LLC, Member FINRA and SIPC; As a Financial Services Professional, you will work directly with individuals, business people, and families...
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Investment Consultant Atlanta GA

TD Ameritrade 122 reviews - Atlanta, GA
Job Title: Investment Consultant - Atlanta, GA Job ID: 105178 Job Location: Atlanta, Georgia Employment Type: Full-Time Contract Type: Regular Manager

Conflicts Research Specialist

DTI 138 reviews - Atlanta, GA
Advanced knowledge of legal and business electronic resources and databases, including Lexis Diligence, D&B, FINRA Broker Check etc....

Surveillance Analyst

AIG 481 reviews - Atlanta, GA
FINRA Series 7 preferred. Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications...

Investments Compliance Analyst

Randstad Professionals 8 reviews - Atlanta, GA
Research and evaluate the impact of new regulations, changes, and developments from Banking laws and regulations (Specifically FINRA and FCC)....

Director of Compliance

Merit Financial Advisors - Alpharetta, GA
Active FINRA Series 7, 63 or 66, and 24 licenses. Working knowledge of FINRA, SEC, ERISA and state securities rules, regulations, issues and concerns....
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Financial Advisor Assistant
First Tech Federal Credit Union 12 reviews - Alpharetta, GA
Current series 7, 63 FINRA licenses. As a financial institution, we definitely like numbers, and here are a few important ones for you:....
Sponsored by First Tech Federal Credit Union  - 21 days ago
Compliance Advertising Analyst- Remote
Cambridge Investment Research 10 reviews - United States
FINRA Series 7 license and Series 24 licenses are preferred and should be obtained within 6 months of placement....
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Sponsored by Cambridge Investment Research  - 30+ days ago

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