3 FINRA Jobs with Remote Work Options

years of experience within financial services 3-5 years of experience in a Regulatory Testing/Examiner/Audit role Understanding of FRB, SEC, FINRA, OCC, NFA, Privacy and Anti-Money Laundering rules and regulations Travel: Must be able to travel 20% - 25% during the course of the year (roughly … s degree or equivalent experience Understanding and experience with Microsoft suite of applications (Word, Excel, PowerPoint) Professional licensing and/or compliance certifications (e.g., FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS) General understanding of financial holding company, bank, broker-dealer, and investment advisory businesses, as well as more »

the same. Together, we can build a better future for our advisors, their clients, our company, and you. About Commonwealth 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. Privately held since more »

general securities licensed to open Brokerage IRA's and Taxable Retail accounts and perform trading in both accounts. REGISTRATIONS/CERTIFICATIONS/LICENSING REQUIRED: FINRA 7, 65, & 63 registrations required within corporate-established timelines. FINRA fingerprinting required. Goals and results oriented with high level of accountability to produce positive results more »