Finra jobs in Chicago, IL

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Financial Operations Examiner - Member Regulation, ROOR - Ch...
Finra 18 reviews - Chicago, IL
to the FINRA Careers site, enter www.finra.org... that person is hired by FINRA. FINRA is an Equal Opportunity and Affirmative Action Employer FINRA is an...
Sponsored by Finra - 4 days ago
Chicago Financial Representative
First Investors 68 reviews - Lombard, IL
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 - 30+ days ago

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

Finra 18 reviews - Chicago, IL
FINRA is seeking a well-qualified individual for our. To be considered for this position, please submit your resume through our careers site at www.FINRA.org....
1 day ago - save job - block - email - more...

Supervisory Principal

LPL Financial 74 reviews - Chicago, IL
Position is responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. This position will...
13 days ago - save job - block - email - more...

Compliance Analyst III — PCG Chicago

Raymond James 129 reviews - Chicago, IL
Description Job Summary: Under limited supervision, uses specialized knowledge and skills in securities industry compliance obtained through education,...
2 days ago - save job - block - email - more...

Associate Mergers & Acquisitions

Duff & Phelps 9 reviews - Chicago, IL
FINRA Series 79 & 63 certification (either current or able to obtain). In order to be considered for a position at Duff & Phelps, you must formally apply via...
Duff & Phelps Corporation - 7 days ago - save job - block - email - more...

Associate Investment Specialist

Northern Trust Corp. 198 reviews - Chicago, IL
FINRA Series 7 and 63 is required. At least three years of securities industry experience preferred....
18 hours ago - save job - block - email - more...

Compliance - General

International Financial Group - Chicago, IL
regulatory rules and interpretations for broker/ dealers and investment advisors, including but not limited to, CBOE, SEC, and FINRA Rules, the ’40 Act, and the... $40 an hour
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19 days ago - save job - block - email - more...

Investment Customer Service Rep I - Broker Service Center -...

JPMorgan Chase 5,031 reviews - Chicago, IL
Requires either FINRA Series 7 and 63 licenses or to obtain licenses within 90 days of hire. Prefer brokerage, annuity or retirement knowledge....
12 days ago - save job - block - email - more...

Private Client Direct - National Investments Desk Team Lead-...

JPMorgan Chase 5,031 reviews - Chicago, IL
Required to conform to legal and regulatory requirements and guidelines associated with state insurance and securities regulators, FINRA, SEC, JP Morgan...
1 day ago - save job - block - email - more...

401k Account Sales Client Based Sales

ADP 822 reviews - Chicago, IL
FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment....
Automatic Data Processing - 27 days ago - save job - block - email - more...

Affluent Client Professional

Charles Schwab 203 reviews - Evanston, IL
Active FINRA Series 7 & 63 licenses required. Two years or more of Financial Services industry experience....
7 days ago - save job - block - email - more...
Associate Investment Specialist
Northern Trust Corp. 198 reviews - Chicago, IL
functional areas Experience A College or University degree is preferred. FINRA Series 7 and 63 is required At least three years of securities industry...
Sponsored by Northern Trust Corp. - 18 hours ago
Account Manager
Lincoln Financial 28 reviews - Rolling Meadows, IL
within the market, under unique tax laws, SEC and FINRA rulings, as well as multiple administrative... requirements (SEC, FINRA, IRS, DOL, ERISA and DOI...
Sponsored by Lincoln Financial Group - 30+ days ago
External Wholesaler-Midwest
Payden & Rygel - Chicago, IL
and communication skills. Educational Experience • Bachelor’s degree or equivalent • FINRA Series 6 and 63 licenses • Minimum of 5 years as an internal/external...
Easily apply
Sponsored by Payden & Rygel - 20 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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