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Finra jobs - Collegeville, PA

Viewing 1 - 10 of 231 jobs

  • Asset Management Compliance Associate - Options Trading

    Compliance Search Group - Philadelphia, PA

    for compliance with applicable SEC, FINRA or other regulatory requirements • Review and monitor employee personal securities trading and other code of ethics compliance • Assist in the annual compliance training sessions and other periodic...

    30+ days ago from The Ladders

  • Business Development Group Supervisor

    Major Mutual Fund Investment Management Company - Valley Forge, PA

    BDG. Ensures that the unit is operating according to FINRA and SEC guidelines. Assists with the rollout and ongoing enhancements in BDG. Develops, initiates, and completes project work. Represents BDG on high impact projects. Monitors and...

    6 days ago from IvyExec

  • Associate Vice President

    Nw Recruiters - Philadelphia, PA

    achelor's degree Strong communication skills including the ability to deliver persuasive, succinct presentations and messages Must have 3-5 years of licensed financial experience. FINRA Series 7 and 63 licenses to be obtained within 90...

    13 days ago from ZipRecruiter

  • Sr Account Executive-Retirement Services

    Major Investment Management Firm - King of Prussia, PA

    or related corporate retirement plan experience - Active FINRA Series 7, Series 66, and Life and Health licensing OR Series 7 and 63/Series 65 and Life and Health licensing - Excellent verbal and written communication and presentation...

    16 days ago from IvyExec

  • Financial Representative - Financial Services Sales

    Western and Southern Life - Philadelphia, PA

    (member FINRA/SIPC). ¹Cohn, D’Vera and Paul Taylor. “Baby Boomers Approach Age 65 – Glumly.” Pew Research Center Publications. (2010) n.pag. Online. Internet. Dec 20, 2010. Available: (most current source) ²Retzloff,...

    15 days ago from ZipRecruiter

  • Director of Expense Management

    Insurance and Investment Management Holding Company - Radnor, PA

    policy Partner with Compliance to ensure adherence with FINRA regulations and compliance with non-cash compensation rules Maintain practical knowledge of LFN affiliation models and field practices to administer billing and O F rate...

    6 days ago from IvyExec

  • IT Systems Administrator

    Cmit Solutions - Doylestown, PA

    compliant with IT security regulations (HIPAA, PCI, FINRA, etc.). We guarantee increased client productivity by keeping IT networks secure and running. Candidate success is rewarded financially and with career advancement. Candidates...

    26 days ago from ZipRecruiter

  • Business Development Wholesaler- RPS

    Insurance and Investment Management Holding Company - Radnor, PA

    degree or 4+ years of comparable work experience required FINRA Series 6 or 7, Series 63 or 66, and Resident Insurance Licenses required Experience 1-3+ years of experience in financial services sales that directly aligns with the specific...

    27 days ago from IvyExec

  • Director of Internal Sales

    Leading Investment and Insurance Company - Radnor, PA

    and the asset management industry Must have appropriate FINRA licensing; required to obtain Series 24 or Series 26 license within 90 days of hire date Responsibilities: Build strong partnerships with sales management and external...

    30+ days ago from IvyExec

  • Wealth Manager

    Diversified Financial Services Company - Philadelphia, PA

    tools. Working knowledge of windows operating environment. FINRA Series 7 and 66 (or 63 and 65) or obtainment within 90 ... system. Working knowledge of Microsoft Office tools. FINRA Series 7 and 66 (or 63 and 65). Life Health license. ,...

    16 days ago from IvyExec

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