- UpvoteDownvoteShare Job
- Suggest Revision
Education · Bachelor’s Degree required in a related field (industry experience may be considered) Work Experience · 3-5 years of experience in the following areas: o FINRA and SEC compliance o Supervision of digital communications, social media, marketing, and advertising o Supervision of registered personnel.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
- Suggest Revision
The Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation.
$76,800 - $165,100 a yearFull-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision. Act as a trading specialist resource for others at FINRA including, but not be limited to, mentoring examiners, assessing trading risks and advising on examinations.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
Full-timeExpandUpdated 5 days ago - UpvoteDownvoteShare Job
- Suggest Revision
FINRA Series 7, 24, and 63 required; must acquire Series 65/66 and Series 53 within 6 months. We are currently seeking a Supervision Specialist to add to our team in one of our office locations (St Cloud, MN; Atlanta, GA; Schaumburg, IL; Denver, CO) for a hybrid model.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
- Suggest Revision
FINRA Licenses : Series 7, 66/63 preferred 6. Under general supervision, provide overall support to management, advisors and other support staff including, operating the firms business process management system, maintaining appropriate files, monitoring multiple email inboxes, working with back office to ensure processing is completed, handling of inbound calls/requests when needed and all other facets of support activities assigned.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
To conduct risk-based examinations of FINRA member firms and registered representativesEssential Job Functions:Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
Full-timeRemoteExpandUpdated 22 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Routinely interacts with Managing Directors of FID, ICD, and IAD, Chief Executive Officer, Chief Administration Officer, Director of Business Development, Chief Counsel, Chief Information Security and Privacy Officer, Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Technology Strategy and Alignment department, Supervision & Supervision management, Compliance & Standards Committee Meetings, and FINRA and SIFMA representatives.
ExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Ensure compliance with SEC, FINRA & LPL guidelines and policies by supporting the maintenance and supervision of staff and management. Ensure compliance by coordinating state, SEC & FINRA licensing.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
- Suggest Revision
FINRA Series 24 and Series 53 preferred. FINRA Series 63, Series 65, or Series 66 preferred. FINRA Series 7 required. As a Supervision Analyst you will analyze sales activity to identify trends and patterns, complete secondary transaction review, and evaluate advisor behavior.
Full-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
- Suggest Revision
Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.
Full-timeExpandApply NowActive JobUpdated 2 days ago
finra supervision jobs
FEATURED BLOG POSTS
Making Hybrid Work More Efficient
Covid was a catalyst for change in the work environment. Keeping people safe and helathy was the initial goal for employers, but the unintended result was the considerable demand in remote work. Now, onsite work has been dramatically altered to remote work, which is now transforming into a combination of the two: hybrid work.
How Can HR Technology Help Retain Employees?
Human resources' rapid adoption of technology has led to new ways of streamlining human capital management. Based on the IEE Global Study, these technologies changed how HR handled recruitment and retention in 2022. This includes tech like
Why is Time Management Important? 10 Crucial Importances of Time Management
We’ve all been there before. What starts as a relaxing evening scroll quickly becomes a full-blown binge. You blink, and it’s midnight - throwing off your entire next day before it even starts. And at its worst, this indulgence might leave you feeling behind on things you planned to finish that night. This is why time management is important.
Minimizing Candidate Renegs During the Hiring and Onboarding Process
Candidates reneging on job offers or during the onboarding process can be a frustrating experience for any recruiter. In a talent-driven job market, it’s common for candidates to have more than one job offer to consider. It becomes a race against time to see which organization can offer the best career experience, compensation, and circumstances that secure the right employees.
10 Reasons to Be on Time at Work
Being punctual at work may not be something you’ve given much thought to, but it’s the foundation for building a successful career. All of your technical or job-specific skills will be in vain if your peers and superiors can’t trust you to show up on time and do the work. In fact, Simon Sinek once famously said that
10 Importancies of Setting Realistic Goals
We’ve all heard how important it is to set professional and personal goals. Developing and establishing goals keeps us motivated and moving forward in life. But not all goals are created equal. If you’re chasing goals that are too lofty, you’ll end up disappointed when you cannot reach them. Setting goals that are achievable and measurable is the key to success.
Email Etiquette Principles - Why is it Important
Why is email etiquette important? Let's imagine you're hiring for a new role, and you’ve just received the email below.