Finra jobs in Chicago, IL

Sort by: relevance - date
Salary Estimate
Title
Company
Location
Job Type
Employer/Recruiter
Jobs 1 to 10 of 179
Upload your resume - Let employers find you
Financial Operations Examiner - Member Regulation, ROOR - Ch...
Finra 25 reviews - Chicago, IL
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...
Sponsored by Finra - 5 days ago
Assistant Compliance Officer - Broker / Dealer group
CNO Financial Group, Inc. - Chicago, IL
FINRA Series 7, 24 registrations; Conduct compliance testing per FINRA regulations. Assist in managing SEC and FINRA examinations and coordinate response....
Sponsored by CNO Financial Group, Inc - 30+ days ago
Analyst (Contractor) Options Regulation - Market Regulation...
FINRA 25 reviews - Chicago, IL
About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States....
Sponsored by eFinancialCareers - 16 days ago

Senior Compliance Officer-Trading Products

BMO Financial Group 89 reviews - Chicago, IL
Experience with FINRA and SRO examinations. Prefer knowledge of FINRA Fixed Income and MSRB Regulations....

Compliance Examiner - Member Regulation, Sales Practice - Ch...

Finra 25 reviews - Chicago, IL
All told, FINRA oversees. FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....

Chief Compliance Officer-Corporate Areas

BMO Financial Group 89 reviews - Chicago, IL
Relationships with key regulators, including OCC, FRB, CFPB, FINRA, SEC and. The....

Chief Compliance Officer

LaSalle Investment Management 6 reviews - Chicago, IL
O FINRA Rules. To be considered, please click the link below to apply online or copy and paste the URL noted below into your browser....

Analyst, TFCE Options Regulation - Chicago, IL

Finra 25 reviews - Chicago, IL
All told, FINRA oversees. FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement...

Retirement Specialist

Lincoln Financial 33 reviews - Chicago, IL
FINRA Series 6 and 63 or 66 registrations required within 60 days. No....

Regional Sales Associate

Guggenheim Partners 13 reviews - Chicago, IL
ABOUT GUGGENHEIM PARTNERS: Guggenheim Partners is a global investment and advisory firm with more than $220 billion 1 in assets under management. Across our...

Vice President, Compliance - Chicago

Guggenheim Partners 13 reviews - Chicago, IL
Assist compliance analysts in responding to FINRA comments on advertising and sales materials, negotiate proposed changes with FINRA, determine overall impact...

Private Placement Agent for Alternative Investment Funds

Meyler Capital - Chicago, IL
Meyler Capital is founded on the belief that the capital raising process is ripe for change. We take the approach that generating asset momentum requires a
Easily apply

Operations Manager - Broker / Dealer Group

CNO Financial Group, Inc. - Chicago, IL 60646
FINRA Series, 7, 24, 63. Working knowledge of SEC, FINRA and state insurance rules and regulations and interpretations relating to advertisements by broker...
Director, Retirement Platform
HighTower Advisors 2 reviews - Chicago, IL
FINRA Series 7 and 24 licensed preferred. It is desired that the Director, Retirement Platform will obtain in the absence of FINRA licenses the Series 7 and 24....
Easily apply
Sponsored by HighTower Advisors - 30+ days ago
Broker Dealer Registration Coordinator
Financial Sector - Wheaton, IL
CRD and FINRA registration and disclosure rules; Registering all new employees by filing initial U-4 and fingerprint cards with FINRA;...
Easily apply
Sponsored by Financial Sector - 30+ days ago

Never miss a job. Get new jobs emailed to you daily.

Get email updates for the latest Finra jobs in Chicago, IL
You can cancel email alerts at any time.
Get new jobs for this search by email
You can cancel email alerts at any time.
Company with Finra jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.