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1,706 finra jobs

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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Regulatory Analyst, OFDMI - Insider Trading – new

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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Regulatory Analyst - Market Regulation, Fixed Income – new

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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Team Leader IV/ Associate Director, Office of Fraud Detection & Market Intelligence - Insider Trading

FINRA 100+ Reviews Rockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for… Percipio Media

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Manager II - Market Regulation, Fixed Income

FINRA 100+ Reviews Rockville, MD

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

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Regulatory Analyst - OFDMI/ Office of Whistleblower

FINRA 100+ Reviews Rockville, MD

The Regulatory Analyst conducts reviews and investigations to compile evidence of potentially fraudulent or illegal conduct which may constitute… Percipio Media

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Deputy Director, Office of Fraud Detection, and Market Intelligence

FINRA 100+ Reviews Rockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our… Percipio Media

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FINRA Graduate/Undergraduate Intern, HR Compensation

FINRA 100+ Reviews Rockville, MD

We are seeking a well-qualified individual for a Graduate/Undergraduate Internship in our Human Resources - Compensation Department in Rockville, MD… FINRA

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Graduate/Undergraduate Intern - Advertising Regulation

Financial Industry Regulatory Authority (FINRA) Rockville, MD

in the securities industry through exposure to advertising reviews and investigations… Ivy Exec

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Undergraduate/Grad Intern - Market Regulation, Quality of Markets

Financial Industry Regulatory Authority (FINRA) Rockville, MD

In training to review, analyze and investigate unusual market activity for evidence of violations of relevant rules and regulations enforced. This is… Ivy Exec

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Graduate/Undergraduate Intern - Internal Audit

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Conduct business area (BA) audits to provide senior management with an independent assessment of whether: The structure of internal controls provides… Ivy Exec

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Deputy Director, Office of Fraud Detection, and Market Intelligence

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Major Purpose:The incumbent will work closely with OFDMI senior management in the strategic operations of the Department. The incumbent must have an… Ivy Exec

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Graduate Legal Intern

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist attorneys in the department with legal and policy issues regarding the licensing, registration and regulation of broker-dealer firms and their… Ivy Exec

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Training Manager, eLearning

Financial Industry Regulatory Authority (FINRA) Rockville, MD

, as well as supervising Regulatory Training Specialists and support staff of varying levels. The incumbent is expected to have advanced technical… Ivy Exec

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Graduate Intern - Market Regulation, Legal

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist the Market Regulation Department Legal Section in participating in examinations, investigations and disciplinary proceedings on behalf of the… Ivy Exec

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Graduate Intern - Testing and Continuing Education

Financial Industry Regulatory Authority (FINRA) Rockville, MD

While in the department, the intern will also participate in some of FINRAs standard psychometric processes and may be called upon to investigate ad… Ivy Exec

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High Net Worth Representative – new

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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