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Finra jobs - Philadelphia, PA

Viewing 1 - 10 of 285 jobs

  • FINRA Legal Extern (Unpaid)

    Finra - Philadelphia, PA

    We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Extern - ... to investigate and initiate enforcement actions against FINRA regulated firms and associated individuals (typically,...

    11 days ago from FINRA

  • Associate District Director - Member Regulation, Sales Practice - Philaelphia

    Finra - Philadelphia, PA

    participates in investigation conferences with FINRA Enforcement Department ensuring that all appropriate matters are ... and communicates effectively with other FINRA personnel. Recommends new opportunities for enhancing District...

    12 days ago from FINRA


    Computer Task Group - Audubon, PA

    th our client. Major purpose: The Personal Financial Advisor is expected to be a customer experience champion, a trusted financial advisor.Licenses: Resident State Life License and FINRA Series 6 and 63 or 66 required. Resident State...

    30+ days ago from Computer Task Group

  • Licensed Financial Advisor - TruMark Financial Credit Union

    CUSO Financial Services - Plymouth Meeting, PA

    Qualified candidates must have: Licenses and Registrations: Finra Series 7, 63, 65 or 66, and Life, Accident, Health & Insurance licenses. Clean U-4 Trailing 12 month production over $300,000 Five+ years of sales experience in the...

    8 days ago from CUSO Financial Services, L.P.

  • Relationship Manager - Media & Communications Lending

    US Bank - Philadelphia, PA

    BA/MBA in finance, accounting, or other related field FINRA series 79 and 63 licenses preferred Well-developed verbal and written communication skills Well-developed analytical, decision-making and problem-solving skills Well-developed...

    30+ days ago from US Bank

  • New Hire Registered Phone Rep - Jacksonville, FL / Hopewell, NJ - H7

    Bank of America - Pennington, NJ

    a non-licensed role, reps will be expected to obtain FINRA Series 7 and Series 66 registrations within allotted timeframe. Qualifications Entry-level position which allows individuals to develop themselves as financial professionals. Reps...

    4 days ago from Bank of America

  • Regional Sales Director, West Coast

    Primary Group - Wayne, PA

    contracting, and coordinating the successful training and activation of new relationships. Skill Required : Undergraduate degree or 4+ years of comparable work experience required FINRA Series 6 or 7 Life & Annuity License required within...

    30+ days ago from The Primary Group

  • Compliance Associate - Branch Examinations

    Janney Montgomery Scott - Philadelphia, PA

    of retail trading activity for adherence to FINRA and company policy compliance. * Conduct in-depth ... of branch offices; review books, records, and files for FINRA and company policy compliance and provide written reports...

    30+ days ago from Janney Montgomery Scott LLC

  • Financial Services Representative MetLife Resources

    MetLife - Philadelphia, PA

    Metropolitan Life Insurance Company (MLIC), 200 Park Avenue, New York, NY 10166. Securities are offered through registered representatives of MetLife Securities, Inc. (MSI)(member FINRA/SIPC), 1095 Avenue of the Americas, New York, NY...

    1 day ago from MetLife

  • Investment Support Svcs Rep

    BNY Mellon - King of Prussia, PA

    an integral part in the Mutual Fund Rebalancer product.- FINRA SERIES 7 LICENSE REQUIRED! - BS/BA required, Business related degree preferred - 1 to 2 years trading experience a plus - Security APL knowledge a plus - Initiative and ability...

    19 days ago from BNY Mellon

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