Finra jobs - Washington, DC
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| May 25 | VP Compliance-Broker Dealer | Guggenheim Partners | Rockville, MD |
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* Series 7/24 preferred. * Knowledge of FINRA rules and regulations, the Securities ... * In-depth knowledge of SEC/FINRA advertising and sales literature regulations... more |
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| May 25 | 401(k) District Manager Job | ADP | Rockville, MD |
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1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, ... Strong track Required licensing: FINRA Series 6 and 63. Strong organization,... more |
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| May 25 | Principal | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 25 | Associate Tester II | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 25 | Complex Risk Officer | Morgan Stanley | Mclean, VA |
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Knowledge/Skills Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures Effective written and verbal communication skills Strong attention to detail Ability to... more |
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| May 22 | INVESTMENT COUNSELOR | Branch Banking and Trust Company | Washington, DC |
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7 Financial Industry Regulatory Authority (FINRA) Registered Representative and 63 State licenses. 3. Life, Accident & Health Insurance license. 4. 1-3 years securities sales... more |
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| May 22 | Peoplesoft HCM Functional Analyst | Infostar International Pvt | Washington, DC |
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needs, and any applicable industry and / or FINRA standards for a small project, product and / or program or a major component(s) of a larger project, product and / or program. more |
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| May 22 | Senior Risk Specialist, Office of Risk - New York, NY or | Finra | Washington, DC |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 17 | Financial Planner/Insurance Producer | Capitol Financial Partners | Vienna, VA |
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stone Real Estate Advisers LLC; The First Mercantile Trust Company; MassMutual International LLC; MML Investors Services, LLC, member of FINRA and SIPC; OppenheimerFunds, Inc.;... more |
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| May 16 | Retirement Plans Regional Sales Manager | Mutual of Omaha | Washington, DC |
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Job Requirements: 1. Licensed agent and FINRA Registered Representative 2. Seasoned understanding and demonstrated success in relationship sales in the retirement services... more |
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| May 14 | Broker-Dealer Senior Attorney/Counsel | Washington, DC | |
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and other market players regarding SEC, FINRA, NYSE and other securities regulations.While this innovative full-service firm has grown to almost significantly in one generation,... more |
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| May 12 | 401(k) District Manager | Automatic Data Processing | Rockville, MD |
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1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... more |
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| May 10 | Client Support Specialist | Tiaa-cref | Washington, DC |
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Qualifications QUALIFICATIONS * Requires FINRA Series 7 and 63 licenses * Working knowledge and understanding of financial markets, products and services * Demonstrated... more |
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| May 07 | FINRA Extern - Office of the Ombudsman | Finra | Rockville, MD |
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to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... about operations, enforcement or other FINRA activities. Externs perform a variety... more |
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| May 02 | Branch Financial Advisor | PNC | Washington, DC |
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financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required. * Life Insurance License required. * Bachelor's degree preferred with an emphasis on... more |
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| May 01 | Experienced Employee Financial Advisor Job | Ameriprise | Rockville, MD |
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Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more |
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| Apr 28 | Associate Counsel | TD Ameritrade | Columbia, MD |
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legal advice on issues concerning SEC, FINRA, federal and state rules and regulations * Advise the business as to day-to-day operations of the business in compliance with... more |
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| Apr 20 | Regulatory Compliance Analyst Internship | Gryphn | Washington, DC |
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to folks who are experts on HIPAA, HITECH, FINRA regulations, SOX, and the list goes on and on. You'll probably also meet former CEOs with a lot to say on this matter (or at least... more |
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| Apr 06 | District Manager | MONY Group | Washington, DC |
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Company strategy. A commitment to obtaining FINRA registrations, industry licenses and designations would be required to join our team of respected sales managers. We offer a... more |
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| Mar 23 | Retirement Plans Regional Sales Manager | Mutual of Omaha Bank | Washington, DC |
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Job Requirements: 1. Licensed agent and FINRA Registered Representative 2. Seasoned understanding and demonstrated success in relationship sales in the retirement services... more |
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| Mar 23 | Financial Representative - Eastern Washington/Northern Idaho | Thrivent Financial For Lutherans | Washington, DC |
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Ave. S., Minneapolis, MN, 55415-1624. Member FINRA and SIPC. Obtain state insurance licenses with required lines of authority (life, health & variable contracts) prior to the... more |
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| Mar 21 | Account Executive II - Retirement Services | Principal Financial Group | Bethesda, MD |
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experience at plan level preferred - Active FINRA Series 7, Series 63/Series 65 and or Series 66, and Life and Health licensing preferred up front - Experience working with... more |
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| Jan 10 | STOCKBROKER | DMG Securities | Great Falls, VA |
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DMG SECURITIES, INC., member FINRA, SIPC. Full servicebroker. Personalized in-house training. Lucrative payout schedule. EntryLevel/All Majors. Please call James Scullen at... more |
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| Dec 14 | Portfolio Analyst | CFS Consulting Services | Washington, DC |
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MBA and/or CFA/CIMA significant plus. FINRA Series 7 license 5-10 years experience with at least 3-5 years in a similar role. Solid understanding of and the ability to calculate... more |
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| Oct 03 | District Manager | AXA Equitable | Washington, DC |
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Company strategy. A commitment to obtaining FINRA registrations, industry licenses and designations would be required to join our team of respected sales managers. We offer a... more |
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