Senior Analyst, Private Placement

Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. The... review of private placement filings, received as a filing, or complaints or inquiries from the public, members, other FINRA...

Lugar: Rockville, MD | 29/01/2025 18:01:33 PM | Salario: S/. No Especificado | Empresa: FINRA

Examination Manager -Trading Specialist

To ensure completion of risk-based examinations of FINRA member firms and registered representatives Essential... experience managing projects and/or people Knowledge Requirements: Advanced knowledge of FINRA's risk fundamentals Advanced...

Lugar: Jersey City, NJ | 29/01/2025 18:01:09 PM | Salario: S/. No Especificado | Empresa: FINRA

Financial Advisor - No Experience Required

during the assigned paid study period. FINRA registrations required within three months. State insurance licenses... will be required. As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC), as well...

Lugar: Winchester, VA | 03/02/2025 03:02:08 AM | Salario: S/. $45000 - 100000 per year | Empresa: Edward Jones
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