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Fixed Income Compliance AVP

LPL Financial Charlotte, NC

• Collaborate with other internal areas including: Legal, Middle-Office, Sales Management, Operations, Technology, Control Units, In-Business Risk… LPL Financial

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Broker/Dealer Compliance Officer (Series 7 & 24 Required) – easy apply

Gradient Financial Group Arden Hills, MN

• Promptly reviews and approves advertising material submitted to Compliance. • Works directly with marketing department to develop compliant… Gradient Financial Group

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Administrative Assistant I, Member Regulation, ROOR – new

FINRA 100+ Reviews New York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified candidate for our Administrative Assistant I opening in New York, NY… Percipio Media

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Manager, Options Regulation – new

Financial Industry Regulatory Authority (FINRA) Chicago, IL

of the team and developing plan to address these issues.Takes a leadership role in implementing regulatory plans under the direction of senior… Ivy Exec

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Enforcement Counsel – new

Financial Industry Regulatory Authority (FINRA) New York, NY

The Counsel performs a variety of specific duties depending on the section to which assigned, generally including applying advanced analytical skills… Ivy Exec

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Help Desk Support Specialist - Rockville, MD – new

FINRA 100+ Reviews Contractor Conversion

The Help Desk Support Specialist works under general supervision and will provide quality desktop support to end users including support for… FINRA

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Principal - Technology – new

FINRA 100+ Reviews New York, NY

The Principal is generally autonomous in their complex solutions delivery for a Technology project(s) and/or practice area and most often reports… FINRA

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Regulatory Analyst - Office of Fraud Detection and Market Intelligence – new

FINRA 100+ Reviews Pipes

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… FINRA

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Senior Developer in Test - New York, NY – new

FINRA 100+ Reviews Contractor Conversion

Under minimal supervision, the Senior Developer in Test ensures quality of software products delivered within the software development life cycle… FINRA

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Staff Systems Analyst - Rockville, MD – new

FINRA 100+ Reviews Contractor Conversion

The Staff Systems Analyst works under limited supervision and is responsible for understanding business area technology needs / challenges and… FINRA

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Surveillance Director, Member Regulation, ROOR – new

FINRA 100+ Reviews New York, NY

The Surveillance Director is responsible for developing, implementing and leading the ongoing surveillance of our largest and most complex members… FINRA

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Associate Investigator, Office of Fraud Detection and Market Intelligence, Centr – new

FINRA 100+ Reviews United States

The Associate Investigator in the Central Review Group - Preliminary Investigation Unit (CRG - PI) of the Office of Fraud Detection and Market… FINRA

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Business Analyst Specialist, Business Solutions – new

FINRA 100+ Reviews Rockville, MD

The Business Analyst Specialist supports program management activities of the Business Solutions team. Essential Job Functions: • Works with… FINRA

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Regulatory Analyst, OFDMI - Insider Trading

FINRA 100+ Reviews Rockville, MD

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… Percipio Media

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Graduate/Undergraduate Intern - Financial Reporting – new

FINRA 100+ Reviews Rockville, MD

We are seeking a well-qualified individual for a Undergraduate Internship in our Financial Reporting Department in Rockville, MD. The Summer… FINRA

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Regulatory Coordinator - Member Regulation, ROOR

FINRA 100+ Reviews New York, NY

Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous… Percipio Media

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Regulatory Analyst - Market Regulation, Fixed Income

FINRA 100+ Reviews Rockville, MD

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… Percipio Media

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High Net Worth Representative

Fidelity Investments 100+ Reviews Westlake, TX

• Engage with customers, via inbound calls, responding to their inquires which may include providing… Fidelity Investments

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Financial Services Sales Manager

Fidelity Investments 100+ Reviews Covington, KY

• Accountable for the individual and team success through coaching, managing and leading • Hire new staff, conduct performance appraisals, and… Fidelity Investments

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