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Finra jobs - Maryland
Subscribe to RSS Feed| Posted | Job Title | Company | Location |
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Featured Job Postings from the Web
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| May 25 | Regulatory Analyst - Market Regulation, Fixed Income - Rockville | Finra | Maryland |
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your resume through our career site at www.finra.org/careers - no phone calls, please. ... relevant rules and regulations enforced by FINRA. Essential Job Functions: Routinely... more |
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More Job Postings from the Web
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| May 28 | Experienced Employee Financial Advisor Job | Ameriprise | Timonium, MD |
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Ameriprise Financial Services, Inc. Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients. Ameriprise Financial Services,... more |
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| May 25 | Lead Tester | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 25 | Principal | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 25 | Associate Tester II | Finra | Rockville, MD |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 22 | Wealth Planning Associate | PNC | Baltimore, MD |
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skills. * Ability and eagerness to work with planning tools/processes. * Certified Para-Planner or equivalent course work preferred. * FINRA Series 6,7,8,24,63,65 or 66, State... more |
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| May 22 | INVESTMENT COUNSELOR | Branch Banking and Trust Company | Salisbury, MD |
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7 Financial Industry Regulatory Authority (FINRA) Registered Representative and 63 State licenses. 3. Life, Accident & Health Insurance license. 4. 1-3 years securities sales... more |
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| May 21 | Area Manager 2 or 3 - Area 12/Baltimore | SunTrust Banks | Maryland |
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(Life, Health and/or Variable) and hold FINRA Series 6 and 63 registrations along ... as required for retaining licensing and FINRA registration. Qualifications Minimum... more |
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| May 07 | FINRA Extern - Office of the Ombudsman | Finra | Rockville, MD |
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to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... about operations, enforcement or other FINRA activities. Externs perform a variety... more |
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| May 03 | Financial Professional | AXA Equitable | Columbia, MD |
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interpersonal and communication skills ? FINRA Series 7 & 66 registrations are ... Advisors, LLC (NY, NY 212-314-4600), member FINRA, SIPC is an Equal Opportunity Employer... more |
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| Apr 28 | Compliance Analyst - Equity Trading | Stifel Nicolaus Weisel | Baltimore, MD |
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* Research and respond to SEC and FINRA regulatory inquiries. * Assist Firm's ... policies and procedures as well as SEC and FINRA rules and regulations. KNOWLEDGE,... more |
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| Apr 28 | Associate Counsel | TD Ameritrade | Columbia, MD |
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legal advice on issues concerning SEC, FINRA, federal and state rules and regulations * Advise the business as to day-to-day operations of the business in compliance with... more |
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| Apr 02 | OPERATIONS SUPERVISOR - CAPITAL MARKETS | Stifel Nicolaus | Baltimore, MD |
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obtain within 6 months). Solid knowledge of FINRA and other Industry rules that affect the business. Strong understanding of Fidessa Trading System as well as Thomson/Beta... more |
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| Nov 28 | Compliance Analyst - Equity Trading | Stifel Financial | Baltimore, MD |
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Trading. . * Research and respond to SEC and FINRA regulatory inquiries. * Assist Firm??s ... policies and procedures as well as SEC and FINRA rules and regulatioNS. * Bachelor??s... more |
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| Jul 22 | Financial Services Representative | MetLife | Silver Spring, MD |
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* Have or willing to obtain appropriate FINRA Registration and State Licensing: Life/Health, Series 6/7, 65/66, 63, as applicable * High School Diploma or Equivalent * Must be a... more |
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