• Insurance Customer Support / FINRA…

    DXC Technology (Tulsa, OK)
    …exceptional customer support, processing account updates, handling inquiries, and ensuring compliance with FINRA regulations. **Key Responsibilities** + Provide ... Quality Assurance (QA) support, including enhanced QA reviews for FINRA -registered associates handling variable investment transactions. + **Qualifications** **Required:**… more
    DXC Technology (08/26/25)
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  • Deputy Chief Compliance and Risk Officer,…

    HUB International (New York, NY)
    …Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in enhancing ... Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and...limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a highly visible,… more
    HUB International (08/21/25)
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  • Advertising Compliance Manager

    Aegon Asset Management (Cedar Rapids, IA)
    …specifically with 2 years of experience in both the securities industry and Advertising Compliance . + FINRA Series 7/24 + At least 1-year of managerial ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...skills, interpretive, organizational and negotiation skills. Preferred Qualifications: + FINRA Series 65/66 Working Conditions Normal office environment utilizing… more
    Aegon Asset Management (08/21/25)
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  • Compliance Analyst, Distribution…

    Jackson National Life Insurance Company (Lansing, MI)
    …The Compliance Analyst, Distribution Surveillance assists in maintaining compliance with FINRA and SEC regulations, specifically developing and ... Workday and apply through Jobs Hub._** **Job Purpose** **The Compliance Analyst is responsible for the monitoring of policies..., legal, etc.) required.** **Securities Industry Essentials (SIE) required.** ** FINRA Series 6 or 7 and FINRA … more
    Jackson National Life Insurance Company (08/30/25)
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  • Sales Support Associate

    Foresters Financial Services (Westbury, NY)
    …strategy + Time value of money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to have: + High School ... enhancing the service experience of clients*. *This role requires FINRA licensing within 12 months of hire to allow...of support is dictated by whether the incumbent is FINRA licensed. + As directed by the representative, based… more
    Foresters Financial Services (07/16/25)
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  • Financial Advisor - Centralized

    Santander US (Staten Island, NY)
    …+ Maintains required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank's uninsured Products ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
    Santander US (07/26/25)
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  • Senior Supervisory Control Specialist

    Wells Fargo (Bee Cave, TX)
    …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
    Wells Fargo (08/23/25)
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  • FiNet Home Office Supervisor

    Wells Fargo (St. Louis, MO)
    …to Supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and Securities and Exchange Commission (SEC) rules ... that the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The FiNet Home Office Supervisor understands the… more
    Wells Fargo (08/16/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Indianapolis, IN)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
    Guardian Life (08/29/25)
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  • Co-Head of Securities Based Lending

    Wells Fargo (New York, NY)
    …+ Knowledge and understanding of credit risk management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or ... FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time period contingent upon… more
    Wells Fargo (08/15/25)
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