Finra jobs in San Francisco, CA

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Financial Professional Associate
AXA Advisors - 237 reviews - San Francisco Bay Area, CA
State life and health licenses, FINRA Series 7 and 66 registrations. Must be authorized to work in the United States • A four-year college degree is preferred...
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Capital Markets-Platform Engineer 2
Wells Fargo - 16,483 reviews - San Francisco, CA
SEC, FINRA, Dodd Frank, and Basel. The Wholesale Platform Technology (WBT) team is seeking a talented, curious, decision maker that will bring a focused...
Walnut Creek Financial Representative
Foresters Financial - 114 reviews - Walnut Creek, CA
Who we are . . . Foresters Financial Services, Inc. provides everyday families and individuals with financial solutions, guidance, and tools, to meet their...

Director, FRIM Compliance Officer

First Republic Bank - 66 reviews - San Francisco, CA
Strong knowledge of the Investment Advisor Act and strong working knowledge of FINRA, federal securities regulations and securities industry practices....

Associate Analyst

B Riley & Co., LLC - San Francisco, CA
Riley is a FINRA member firm providing research and trading ideas to institutional clients (primarily hedge funds and mutual funds), and investment banking...
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Compliance Analyst

Insight Recruiting - San Francisco, CA 94104 (Financial District area)
$30 - $36 an hour
Bachelor’s degree in business, finance or economics1-3 years of professional experienceExperience in a financial advisory, broker-dealer, or trust entity...
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Private Banker, Wealth Manager

Bank Leumi USA - San Francisco, CA
FINRA Series 7 and 66 or 63,65. The primary responsibility of the Private Banker is to be the face of the Bank Leumi Private Banking Business....
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External Wholesaler - Primerica

Lincoln Financial - 490 reviews - San Francisco, CA
Education Undergraduate degree or 4+ years of comparable work experience required FINRA Series 6 and 63 required Life, Health License in all states within...

Private Client Advisor - CA - San Francisco (Post and Powell...

JP Morgan Chase - 13,161 reviews - San Francisco, CA 94102 (Downtown area)  +3 locations
Alternatively 7 & 66 series required in addition to meeting FINRA continuing education requirements and the appropriate state Group 1 - Life and Variable...

Portfolio Strategist

Matthews Asia - San Francisco, CA
FINRA series 7 and 63 securities licenses preferred. This position will report to our Senior Portfolio Strategist....

Investment Banking Associate, Healthcare

Wedbush Securities - 26 reviews - San Francisco, CA 94104 (Financial District area)
Current FINRA Series 79, 63 licenses preferred. Wedbush Securities is one of the largest full-service investment banks in the nation....

Control Room Compliance Officer

RBC - 1,485 reviews - San Francisco, CA
Familiarity with Regulation M, FINRA Rule 2241 and other relevant rules and regulations. It reviews the Firm's research prior to publishing to ensure it adheres...

Complex Risk Officer

Morgan Stanley - 1,820 reviews - San Rafael, CA
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and...
Financial Consultant - Burlingame, CA
Fidelity Investments - 1,948 reviews - Burlingame, CA 94010
FINRA Series 7 & 63 required prior to hire. Financial Consultant - Burlingame, CA....
Associate Analyst
B Riley & Co., LLC - San Francisco, CA
Riley is a FINRA member firm providing research and trading ideas to institutional clients (primarily hedge funds and mutual funds), and investment banking...
Easily apply

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