- UpvoteDownvoteShare Job
- Suggest Revision
Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
- Suggest Revision
SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
We are currently offering the opportunity for a dynamic and engaging compliance professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker-Dealer and Investment Adviser programs.
$87,800 - $195,200 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Job Details Description The Opportunity: Mesirow is an independent, employee-owned financial services firm founded in 1937.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Oppenheimer & Co. Inc. ( Oppenheimer ) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
ExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
- Suggest Revision
More specifically these services include remediation consulting, root cause analysis, pre-issuance and post-issuance reviews of issuer and broker-dealer audit engagements, leading and supporting investigations, and independent monitorships for regulatory undertakings.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Knowledge of various types of securities and broker-dealer services and methods of marketing required. 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 Today - UpvoteDownvoteShare Job
- Suggest Revision
For those supporting the Broker Dealer businesses, FINRA Series 7 and/or Series 24 license and additional Principal Licenses , 1+ years of investment experience/work and/or good knowledge of investments/securities products and services preferred.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Collect, organize, and analyze information from a variety of sources to be used in the development of reviews of potential sales practice issues, including broker-dealer documents, trading, and financial information.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Phillip Capital Inc. is dually registered with the SEC/FINRA as a self-clearing broker dealer and the CFTC as a registered Futures Commission Merchant (FCM). The Broker Dealer Accountant will play a critical role in ensuring the financial integrity of the firm's financial operations.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Nuveen Securities, LLC, is a registered U.S. broker-dealer, which serves as the underwriter and distributor for the Nuveen and TIACREF family of mutual funds. 3 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
7+ years’ experience in accounting and reporting at regulated financial services firms (FinTech, banking, payments, lending, broker dealer, crypto) and/or public accounting experience. We power neo-banks, broker-dealers, and payment groups to offer digital asset trading and custody, crypto-backed rewards and round-up programs.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
About the team + role Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and is looking for a Communication Compliance Specialist within RHF Compliance. Under minimal supervision, the Communications Compliance Specialist will support the team in guiding internal customers (Marketing, Communications, Content, Public Relations and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Zacks Trade our broker dealer provides discount brokerage services to both active individual traders and to long term investors. Exceptional candidates with experience outside of the Market Data industry will be considered but the ideal candidate has likely worked in a sales or sales manager role for Refinitiv, Thomson Reuters, Factset, Bloomberg, S&P Cap IQ, Morningstar or similar or predecessor or market data provider.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
RemoteExpandApply NowActive JobUpdated 26 days ago
broker dealer jobs in Chicago, IL
FEATURED BLOG POSTS
How to Build a Candidate Persona
A candidate persona is a semi-fictional representation of your ideal candidate. Building a candidate persona is one of the best methods employers use to ensure their sourcing, recruiting, and hiring processes are focused. Knowing exactly what you're looking for streamlines everything and helps increase hiring confidence. So here's how to create a candidate persona and how to use it.
How to Get Into The Trades: Step-by-Step Guide
Getting a trade job can be a great career move if you like variety and prefer to learn on the job instead of in an academic setting. A trade job can offer security and be a lucrative career path as the demand for skilled trade workers continues to grow.
How do Good Interviewers Prepare for Interviews?
Just like candidates take the time to research you and your company, you should take the time to prepare for the interview. Preparing for the interview doesn't just reflect well on your employer brand and create a better candidate experience. Preparation also helps prevent bad hiring decisions. Bad hiring decisions are usually a result of poor execution during the hiring process. However, going into an interview fully prepared and ready to evaluate candidates will help avoid bad hires. So, here are 6 interview preparation tips for employers.
How to Get a Union Job? A Step-by-Step Guide
A union job can significantly impact your job security, pay, and employment benefits. Whether this is your first job or you have years of experience, a union job can offer much-needed protection in a labor market where employees are hired and fired at will.
Should I Hire for Potential Over Experience?
The workforce is shifting every day. In fact, research from the World Economic Forum (WEF) shows over half of employees around the world will need to upskill or reskill by 2025. The rapid rise of digital literacy, automation, and new technologies will quickly supersede businesses that don't train ahead of the curve. With the dire need to invest in training, it's evident that hiring someone with experience isn't that much different than hiring someone without it.
How to Decide Between Two Job Offers: 10 Practical Tips
It’s arguably a good predicament to have. You’ve applied to many jobs, interviewed multiple times, and now find yourself with two legit job offers. Nice! But although this is a feel-good validation of everything you have to offer, a daunting choice lies ahead. How do you decide which job will be the best fit for you?
Why Work in Sales? 9 Reasons & Tips on Answering as an Interview Question!
Working in sales can be demanding and challenging, but it can also be gratifying. Sales is an excellent career with a clear path full of excitement and potential for growth. So, if you're contemplating careers and have wondered "why work in sales?", keep reading to determine if sales is a suitable role for you.