- UpvoteDownvoteShare Job
- Suggest Revision
Full trm of exprnce must inclde each of the fllwng: Use of Excel for financl anlysis & finc functns, & Pwr BI; Invstmnt bnkng rsrch tools, incldng FactSet, CapIQ, & Eikon; Financl anlysis, incldng Price/ Volme/ cost anlyses, prdct cohort anlyses; &, Data anlysis, incldng manipulatng & anlyzng lrge datasets via Excel &/or Pwr Bi. FINRA Series 79 & 63 licnses rqrd.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
FINRA Brokerage licenses Series 7 & 63 required within 6 months Optimizing the broker dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations Partnering with; Compliance partners to respond to regulatory examinations, including timely and accurate communications to regulator inquiries.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Essential Job Functions:Provides strategic advice on complex reporting and technological issues raised by the MRTS business units, Regulatory Services Management (“RSM”) team, Regulatory Operations teams, and other FINRA customers, as applicable.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
FINRA Series 7 securities registration preferred. Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide.
$100,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Active and valid FINRA Series 66 license required (may be obtained with a 120-day condition of employment) Active and valid FINRA Series 7 license. As a Senior Wealth Advisor within Schwab Wealth Advisory (SWA), you are joining a premier, fee-based, and non-discretionary investment advisory solution, providing clients with a personal relationship, specialized service, and ongoing advice built on Schwab’s approach to investing.
ExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Finra Series 7 & 63 may be required. Experience with Salesforce, FactSet, Morningstar Direct and eVestment are a plus. The US Distribution Associate role combines on-the-job training with formal training classes and special project assignments.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Work with Compliance in drafting, updating and applying policies and procedures for investment management and distribution functions, as well as providing support in connection with relevant registration/disclosure forms (e.g., Form ADV and Form BD), regulatory exams and FINRA licensing/supervision matters.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
You will have a direct impact on the lives of clients, working as a fiduciary within a dedicated Schwab Wealth Advisory team to deliver an exceptional client experience. CFP® designation or CFA® designation required.
$234,300 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
This is a hybrid position located in Boston, MA.What you will do:•Review investment advisor and certain institutional investor broker dealer marketing communications to ensure compliance with applicable FINRA and SEC regulations.
ExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency.
$150,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses are required - or must be successfully completed within 180 days of starting the role.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA. FINRA Series 7 & 63 required prior to hire. Issuing Authority, Series 07 - FINRA, Series 63 - FINRA, Series 65 - FINRA, Series 66 - FINRA.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Minimum one year of sales and/or leadership experience or FINRA Series 7 & 63 licenses. - Obtain FINRA Series 7 and 63 as required. Minimum one year of sales and/or leadership experience or FINRA Series 7 & 63 licenses.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Knowledge of regulatory requirements and industry standards (e.g., SEC, FINRA, SOX). Lead audit engagements and provide guidance and mentorship to junior audit staff. Knowledge of regulatory requirements and industry standards (e.g., SEC, FINRA, SOX.
$130,000 a yearFull-timeExpandApply NowActive JobUpdated Today
finra job in Cambridge, MA
FEATURED BLOG POSTS
Why is it so Hard to Get a Job After College
For many, it was easy finding a job while in college. But after job hunting for weeks, you may wonder why it is so hard to get a job after college. After all, you’ve put a lot of time and effort into getting your degree. But don’t get discouraged. The University of Washington found that 53% of graduates are either unemployed or working a job that doesn’t require a degree. Other studies also show that landing your first job can take between 3 and 6 months. So, getting your first job takes time.
Making the Move to Salary Transparency
The salary transparency trend continues. Last year, Colorado passed its Equal Pay Transparency Rules, which required employers to include compensation in job postings, notify employees about promotional opportunities, and record job descriptions and wage records. Soon after, states like Washington, Nevada, Maryland, and Rhode Island followed suit.
Brand Reputation 101
People's initial perception of your organization is also known as your brand reputation. Your brand rep either encourages or discourages people from engaging with your company. This means the way people view your company will affect sales and even recruiting efforts.
Recruiting in a Tight Market
As a recruiter or employer, you know how much the economy affects your recruitment and retention efforts. You aren't just in competition with companies in your industry, but you are also fighting against inflation, recession, unemployment rates, and so much more.
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.
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 Describe Your Personality with Examples
Imagine you’re in an elevator with the CEO of your dream company and you get to talking. The conversation is going well and you start to imagine yourself working for their company when the CEO turns around and asks you “tell me a bit about yourself.” Would this catch you off guard or would you be able to give a clear and succinct description of who you are?