Finra jobs in Atlanta, GA

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Financial Adviser - Atlanta
(HTK), an SEC registered investment adviser, a registered broker-dealer, Member FINRA / SIPC . Penn Mutual is looking for talented individuals who seek to make...
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Financial Advisor
(Member SIPC , FINRA ), First Command Advisory Services, Inc., First Command Insurance Services, Inc. First Command Financial Services is committed to helping...
Financial Relationship Advisor
FINRA registration including Series 7 and 66 (or FINRA recognized equivalents). Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized...

Deputy Chief Compliance Officer, FSC Securities Corporation

Advisor Group - 5 reviews - Atlanta, GA
Broad knowledge of FINRA and SEC rules and regulations. The successful candidate must possess a strong base of knowledge and understanding of FINRA and SEC...

2018 Campus

Bank of America - 17,701 reviews - Atlanta, GA 30326 (Buckhead area)
FADP participants will have the opportunity to build upon their learnings from their intern experience by passing required FINRA registration exams, learning...

Investment Operations Associate

Northwestern Mutual - Norcross, GA 30092
Be willing to obtain FINRA Series 7 and insurance licensing if not already licensed. This position will be responsible for the support of the WMA to develop and...
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Coordinator - Retirement Plan Services

John Hancock - 194 reviews - Atlanta, GA 30342 (Buckhead area)
FINRA Series 6 and 63 required. Coordinator - Retirement Plan Services....

Compliance Officer - Monitoring & Surveillance - Atlanta, GA

SunTrust - 2,634 reviews - Atlanta, GA
Understanding of SEC and FINRA regulations, particularly in an institutional context. Compliance Officer - Monitoring & Surveillance - Atlanta, GA-W442016....

Associate Client Manager - Fixed Income

Invesco - 211 reviews - Atlanta, GA 30309 (Midtown area)
FINRA Series 7 and 63 licenses are a plus. Invesco is a leading global asset management firm with more than $830B*....

Investment Advisor - PNCI (F)

PNC - 3,262 reviews - Marietta, GA 30064
FINRA Series 7 and 66 (or 63,65) required. At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve....

Agency Control Officer

Ashford Advisors, Inc. - Atlanta, GA 30338
FINRA Series 7, 24 and 65/66 registrations. Maintain an updated knowledge of FINRA, SEC and state statutes that apply to the financial services industry....
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Stifel Nicolaus - 28 reviews - Atlanta, GA
SUMMARY OF RESPONSIBILITIES Assists one or more Financial Advisor(s) (FA(s)) with the opening and maintenance of client accounts and records, performs a wide...

STAS Regional Operations Manager 2 or 3 (Atlanta, GA)

SunTrust - 2,634 reviews - Atlanta, GA
FINRA Series 53. FINRA Series 7, 66, 24, and Life, Health and Variable. FINRA Series 7, 66, 24, and Life, Health and Variable are a requirement....
Atlanta Financial Representative
Who we are . . . Foresters Financial Services, Inc. provides everyday families and individuals with financial solutions, guidance, and tools, to meet their...
Future Opportunities - Financial Consultant – Atlanta, GA
FINRA Series 7 & 63 required prior to hire. Future Opportunities - Financial Consultant – Atlanta, GA....

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