Finra Jobs

Santander seeks an experienced, licensed Financial Advisor in Holden to provide investment and insurance advice, drive sales results, and maintain strong regulatory compliance.

Truist is seeking an experienced Premier Banker to manage and grow a mass-affluent client portfolio in the Alexandria area by delivering personalized financial advice and integrated retail solutions.

Lloyds Bank is hiring early-career analysts for a 24-month rotational program in New York to gain hands-on exposure across coverage, markets and capital markets with structured training and licensing.

Senior Manager — Regulatory Compliance (Private Funds) to provide strategic compliance guidance, lead SEC/FINRA exam support, and develop robust compliance programs for alternative investment clients at a global investor services firm.

Lead COMPLY’s Regulatory Services organization as SVP, directing consulting teams, shaping service strategy, and growing client engagements for a market-leading RegTech SaaS provider.

Serve as the Control Room Officer safeguarding information flow, enforcing information barriers, and keeping the business regulator-ready within a fast-paced digital finance environment.

KeyBank is hiring a Private Client Banker in Columbus to provide plan-based financial advice, deepen client relationships, and refer appropriate investment and lending solutions for clients with up to $2M in investable assets.

Redwood Credit Union is seeking an organized Investment Coordinator in Santa Rosa to support Wealth Management advisors with trade processing, account documentation, and member service.

Support alternative asset clients as an Associate - Compliance by providing regulatory advice, managing compliance monitoring and testing, and assisting with regulatory exams and filings.

IQ-EQ is seeking a detail-oriented Senior Associate to advise private fund clients on U.S. securities regulations, support regulatory exams, and help implement robust compliance programs.

Lead enterprise and broker-dealer compliance at F&G as the Chief Compliance Officer, driving regulatory strategy, AML oversight, and a culture of accountability across the organization.

Provide administrative and sales support to financial advisors in the Williamsport branch (State College candidates considered) to enable client servicing, sales activities, and compliance adherence.

Transamerica is seeking an Intermediate Compliance Analyst in Cedar Rapids to execute compliance testing, evaluate internal controls, and support regulatory oversight for securities and insurance products.

WisdomTree seeks a Compliance Analyst to review and approve marketing and communications materials for regulatory compliance across digital and print channels.

Horace Mann is hiring an Independent Insurance Agent in the Lake Zurich/Chicago area to develop a multiline agency focused on serving educators with comprehensive insurance and financial products.

Wells Fargo Advisors is looking for a Senior Registered Client Associate in Bellevue to deliver client service, account operations, and compliance support to Financial Advisors.

Build and grow an Exclusive Agent practice with Horace Mann, serving educators in Portales, NM through multiline insurance and financial solutions on a commission basis.

Northland is hiring a Director to originate and lead public financings and M&A advisory engagements, overseeing deal execution and client relationships from its Ridgewood, NJ office.

Lead moomoo’s NYC in-person activations and Brand Store operations as a licensed Financial Customer Experience Associate, combining event leadership, sales, client onboarding, and compliant investment guidance.

Lead institutional sales for MFS across the Western U.S., driving business development and client relationships to grow assets in a hybrid California-remote role.

Lead FNBO's Wealth Management and Capital Markets technology strategy, driving modernization, security, integrations, and operational excellence across investment and trading systems.

Senior Java Developer needed in Chicago to build and maintain Java-based compliance reporting systems (FINRA CAT) using Java, SQL, and Python within a fast-growing financial technology organization.

Lead the Life & Annuity Contact Center operations at DXC Technology, managing teams and driving service excellence for top insurance clients.

Wise seeks a Series 7 licensed Complaints Officer to investigate and resolve US securities-related customer complaints within a hybrid work environment in Austin.