The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 ... FINRA Series 7 and FINRA Series 24 required * 3 - 5 years relevant experience at RIA and BD or ...
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The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 ... FINRA Series 7 and FINRA Series 24 required * 3 - 5 years relevant experience at RIA and BD or ...
Branch Office Examiner
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Scottsdale, AZ · On-site
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Scottsdale, AZ · On-site
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Petersburg, VA · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Petersburg, VA · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Oakdale, MN · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Oakdale, MN · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
La Vista, NE · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
La Vista, NE · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Holds FINRA Series 7 license upfront; will also require series 24 and 63 licenses to be acquired ... Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ...
Holds FINRA Series 7 license upfront; will also require series 24 and 63 licenses to be acquired ... Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ...
Holds FINRA Series 7 licensed upfront; will also require series 24 and 63 licenses to be acquired ... Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ...
Holds FINRA Series 7 licensed upfront; will also require series 24 and 63 licenses to be acquired ... Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ...
Active FINRA Series 79 and Series 63 required * Series 24 preferred Seniority Level Director Employment Type Full-time Job Function Finance and Sales Referrals increase your chances of interviewing ...
Active FINRA Series 79 and Series 63 required * Series 24 preferred Seniority Level Director Employment Type Full-time Job Function Finance and Sales Referrals increase your chances of interviewing ...
Branch Office Examiner
Oakdale, MN · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Oakdale, MN · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
La Vista, NE · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
La Vista, NE · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Saint Petersburg, FL · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Saint Petersburg, FL · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
La Vista, NE · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Branch Office Examiner
La Vista, NE · On-site +1
$65K - $75K/yr
Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $65,000 - $75 ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Enterprise Compliance Differentiated Solutions Consultant
Milwaukee, WI · On-site
$121K/yr
FINRA Series 7 and Series 24 are required. #LI-Hybrid This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - ...
Enterprise Compliance Differentiated Solutions Consultant
Milwaukee, WI · On-site
$121K/yr
FINRA Series 7 and Series 24 are required. #LI-Hybrid This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - ...
FINRA Series 7 and Series 24 are required. #LI-Hybrid This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - ...
FINRA Series 7 and Series 24 are required. #LI-Hybrid This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - ...
FINRA Series 7 and Series 24 are required. #LI-Hybrid This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - ...
FINRA Series 7 and Series 24 are required. #LI-Hybrid This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - ...
Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ... Series 07 - FINRA, Series 24 - FINRA, Series 51 - FINRA, Series 63 - FINRA Category:Sales Please be ...
Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ... Series 07 - FINRA, Series 24 - FINRA, Series 51 - FINRA, Series 63 - FINRA Category:Sales Please be ...
Registered Principal
Jacksonville, FL · On-site
$75K - $110K/yr
This role requires experience with an active Financial Industry Regulatory Authority (FINRA) Series 24 reviewing communications and marketing materials acting as a gatekeeper. You will supervise ...
Registered Principal
Jacksonville, FL · On-site
$75K - $110K/yr
This role requires experience with an active Financial Industry Regulatory Authority (FINRA) Series 24 reviewing communications and marketing materials acting as a gatekeeper. You will supervise ...
Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ... Series 07 - FINRA, Series 24 - FINRA, Series 51 - FINRA, Series 63 - FINRA Category: Sales Please ...
Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model ... Series 07 - FINRA, Series 24 - FINRA, Series 51 - FINRA, Series 63 - FINRA Category: Sales Please ...
Full Time Finra Series 24 information
What is the difference between Full Time Finra Series 24 vs Full Time Finra Series 7?
| Aspect | Full Time Finra Series 24 | Full Time Finra Series 7 |
|---|---|---|
| Certifications | Series 24 | Series 7 |
| Job Role | Supervises and manages securities activities | Sells securities and investment products |
| Work Environment | Regulatory oversight, compliance, supervision | Client-facing, sales, trading |
| Industry Usage | Broker-dealers, compliance departments | Broker-dealers, financial advisors |
The Series 24 and Series 7 are both essential FINRA licenses but serve different functions. The Series 24 qualifies individuals to supervise and manage securities activities, while the Series 7 allows professionals to sell a wide range of investment products. Understanding these differences helps in choosing the right career path within the securities industry.
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The top searched job categories for Full Time Finra Series 24 jobs are:
Full-time
Re-posted 20 days ago
Job description
About San Blas Securities:
San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.
We are seeking a highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
Competitive Compensation + bonus based on experience. $80 - $100K
Responsibilities include:
San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.
We are seeking a highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
Competitive Compensation + bonus based on experience. $80 - $100K
Responsibilities include:
- Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
- Manage Firm’s Onboarding Training Program for compliance with new hires
- Schedule new hire training
- Assist in administering firm annual training and advisor attestations
- Schedule targeted training as required
- Foster a culture of compliance
- Document supervisory activities
- Review advisors purchase and sales blotter
- Review advisors communications to (and from) clients
- Review/report customer complaints to CCO
- Assist in conducting Branch Exams
- Assist in review and follow up with exception reports generated by Compliance which require action from supervisors
- Bachelor’s degree or experience equivalent
- FINRA Series 7 and FINRA Series 24 required
- 3 – 5 years relevant experience at RIA and BD or industry regulator
- Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
- Familiarity with RBC and Schwab back-office a plus
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About San Blas Securities
Sourced by ZipRecruiter
Industry
Finance and insurance
Company size
11 - 50 Employees
Headquarters location
Atlanta, GA, US
Year founded
2001