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Dec 04 Financial Advisor Ameriprise Timonium, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Dec 04 Financial Advisor Ameriprise Rockville, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Dec 03 Financial Advisor Ameriprise Timonium, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Dec 03 Financial Advisor Ameriprise Rockville, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Dec 03 Tibco Adminstrator (MB) TD Ameritrade Baltimore, MD

TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more

Dec 02 Senior Analyst, User Testing Finra Rockville, MD

FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The Financial ... registered securities representatives. FINRA has approximately 3,000 employees and... more

Dec 02 Financial Sales Professionals AXA Baltimore, MD

friends, colleagues and associates. i FINRA Series 6/7, 65/66, 24 Registration(s) i MBA, ... Investments, Securities, NASD, FINRA, Series 6, Series 7, Broker, Agent,... more

Dec 01 Financial Sales Professional AXA Hagerstown, MD

friends, colleagues and associates. i FINRA Series 6/7, 65/66, 24 Registration(s) i MBA, JD, CFPy, CPA or ChFC are advantageous. i Integrity, a dedicated work ethic and the desire... more

Dec 01 Financial Sales Professionals AXA Annapolis, MD

friends, colleagues and associates. i FINRA Series 6/7, 65/66, 24 Registration(s) i MBA, JD, CFPy, CPA or ChFC are advantageous. i Integrity, a dedicated work ethic and the desire... more

Nov 30 Private Banker - 10463 Financial Services Firm Baltimore, MD

erral networks. Education: Bachelors Certifications: Certified/Chartered Financial Planner; Certified Investment Mangement Analyst Licenses: FINRA Registered Rep - Series 7 -... more

Nov 30 Private Banker - 10463 Financial Services Firm Baltimore, MD

ral networks.   Education: Bachelors   Certifications: Certified/Chartered Financial Planner; Certified Investment Mangement Analyst   Licenses: FINRA Registered Rep - Series 7 -... more

Nov 29 Private Banker - 10463 Financial Services Firm Baltimore, MD

ral networks.   Education: Bachelors   Certifications: Certified/Chartered Financial Planner; Certified Investment Mangement Analyst   Licenses: FINRA Registered Rep - Series 7 -... more

Nov 26 Senior Software Developer Finra Rockville, MD

initiative, consider a career with FINRA.FINRA is an Equal Opportunity Employer, ... Financial Industry Regulatory Authority (FINRA) is the largest non-governmental... more

Nov 26 Architect Finra Rockville, MD

initiative, consider a career with FINRA.FINRA is an Equal Opportunity Employer, ... Financial Industry Regulatory Authority (FINRA) is the largest non-governmental... more

Nov 26 Managing Surveillance Director, New York, New York Finra Rockville, MD

and initiative, consider a career with FINRA.FINRA is an Equal Opportunity ... registered securities representatives. FINRA has approximately 3,000 employees and... more

Nov 26 Analyst II Finra Rockville, MD

telephone inquiries from FINRA firms, other FINRA departments, regulators and/or other ... initiative, consider a career with FINRA.FINRA is an Equal Opportunity Employer,... more

Nov 26 Regulatory Analyst - Trading Analyst Finra Rockville, MD

Full-timeLocation RockvilleMDDescription FINRA is seeking well qualified individuals ... and initiative, consider a career with FINRA.FINRA is an Equal Opportunity... more

Nov 26 Regional Banking Consultant Wachovia Bank Baltimore, MD

accountabilities. Minimum Qualifications:* FINRA Series 7 & 63 or the ability to successfully obtain within 13 months of hire * Demonstrated professional verbal and written... more

Nov 25 Senior Software Developer Finra Rockville, MD

Employer, M/F/D/V About FINRA: The Financial Industry Regulatory Authority (FINRA) ... representatives. FINRA has approximately 3,000 employees and operates from... more

Nov 25 Architect Finra Rockville, MD

consider a career with FINRA. FINRA is an Equal Opportunity Employer, ... securities representatives. FINRA has approximately 3,000 employees and operates from... more

Nov 24 Independent External Wholesaler Svi Professional Recruiters Baltimore, MD

FINRA Series 7 and 63 (or 65/66) or Series 22 Licenses. State Insurance license for Life & Annuities (necessary to wholesale annuities) Financial services experience in sales or... more

Nov 24 Branch Financial Advisor (Frederick, MD - Riverside, Walkersville, Libertytown) Pnc Walkersville, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 23 Financial Professional AXA Advisors Columbia, MD

Strong relationship-building skills and FINRA Series 7, 65/66 or 24 registrations ... AXA Advisors, LLC, member SIPC and FINRA, is an Equal Opportunity Employer... more

Nov 23 Senior Compliance Consultant Baltimore, MD

* FINRA Audits - Utilizes expert knowledge of SEC and FINRA regulatory requirements ... experience preferred * Knowledge of FINRA, SEC and other Regulatory and Self... more

Nov 23 Investor Center Specialist T. Rowe Price Owings Mills, MD

. Ensure compliance of literature kits with FINRA regulations. . Open and close center including, checking messages, assisting with facility and vendor issues. 4. Meet with... more

Nov 23 Financial Sales Professionals AXA Columbia, MD

NY 212-314-4600), member FINRA and SIPC, is an Equal Opportunity Employer M/F/D/V. 1 ... Securities, NASD, FINRA, Series 6, Series 7, Broker, Agent, Representative,... more

Nov 23 Investor Center Specialist-Owings M... T. Rowe Price Owings Mills, MD

Ensure compliance of literature kits with FINRA regulations. Open and close center including, checking messages, assisting with facility and vendor issues. 4. Meet with clients... more

Nov 18 Compliance Examiner Finra Rockville, MD

FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The Financial ... registered securities representatives. FINRA has approximately 3,000 employees and... more

Nov 18 Compliance Examiner Finra Rockville, MD

rules and regulations enforced by FINRA; performs preventive compliance ... consider a career with FINRA. FINRA is an Equal Opportunity Employer,... more

Nov 18 Regulatory Analyst - Fixed Income Finra Rockville, MD

rules and regulations enforced by FINRA. Essential Job Functions: · Routinely ... Employer, M/F/D/V About FINRA: The Financial Industry Regulatory Authority (FINRA)... more

Nov 18 Regulatory Analyst - Trading Analyst Finra Rockville, MD

rules and regulations enforced by FINRA. Essential Job Functions: · Routinely ... Employer, M/F/D/V About FINRA: The Financial Industry Regulatory Authority (FINRA)... more

Nov 18 Senior Analyst, User Testing Finra Rockville, MD

consider a career with FINRA. FINRA is an Equal Opportunity Employer, ... securities representatives. FINRA has approximately 3,000 employees and operates... more

Nov 18 Regulatory Analyst I - OWB Finra Rockville, MD

Knowledge of relevant FINRA/SEC rules and regulations. · Knowledge of ... a career with FINRA. FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The... more

Nov 18 Director, Office of the Whistleblower Finra Rockville, MD

M/F/D/V About FINRA: The Financial Industry Regulatory Authority (FINRA) is ... representatives. FINRA has approximately 3,000 employees and operates from... more

Nov 18 Associate Director, OWB Finra Rockville, MD

career with FINRA. FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The ... representatives. FINRA has approximately 3,000 employees and operates from... more

Nov 18 Regulatory Analyst-BATS Finra Rockville, MD

relevant rules and regulations enforced by FINRA. Essential Job Functions: · ... consider a career with FINRA. FINRA is an Equal Opportunity Employer,... more

Nov 18 Analyst II Finra Rockville, MD

inquiries from FINRA firms, other FINRA departments, regulators and/or other ... consider a career with FINRA. FINRA is an Equal Opportunity Employer,... more

Nov 18 Spring Extern (Finance/Legal) Finra Rockville, MD

to obtain an understanding of FINRA and how FINRA interrelates with the securities ... at: http://www.finra.org... ABOUT FINRA: FINRA, created through the... more

Nov 18 PNC Investments - Licensed Sales Assistant Pnc Baltimore, MD

a FINRA licensed employee of PNC Financial Services Group, you become part of an ... following qualifications: * Required are FINRA series 7 & 63 licenses. * 3+ years... more

Nov 18 Administrative Manager - Hunt Valley, MD (H7) UBS Financial Services Hunt Valley, MD

branch business culture Required Licenses .FINRA Registrations: Series 7, 66, 8 or 9 and 10 - Series 3 (if applicable) .Life and Health Insurance licenses, required if supervising... more

Nov 18 Associate Wealth Advisor Lee Sipe and Associates Rockville, MD

in managing the firm’s clients.a Requires FINRA Series 7, 63,65, interpersonal & organizational skills, client service attitude and a burning desire to succeed. Email resume to... more

Nov 17 Agency Marketing Director MetLife - Sales, US Business - Distribution Baltimore, MD

with existing MetLife clients (may require FINRA registration) * Ability to understand ... Registration Preferred: Life/Health and/or FINRA Series 6, 63 LD#... more

Nov 16 Administrative Manager - Hunt Valley, MD (H7) UBS Financial Services Hunt Valley, MD

branch business culture Required Licenses .FINRA Registrations: Series 7, 66, 8 or 9 and 10 - Series 3 (if applicable) .Life and Health Insurance licenses, required if supervising... more

Nov 16 Patriot Federal Credit Union & Cuso... CUSO Financial Hagerstown, MD

Qualified candidates must have : q Licenses and Registrations: NASD/FINRA Series 7, 63, (65 or 66 preferred) and Life, Accident, Health & Insurance licenses. q Clean U-4 q... more

Nov 15 Agency Marketing Director MetLife Baltimore, MD

with existing MetLife clients (may require FINRA registration) Ability to understand ... Registration Preferred: Life/Health and/or FINRA Series 6, 63 LD#... more

Nov 15 Agency Marketing Director MetLife Baltimore, MD

with existing MetLife clients (may require FINRA registration) Ability to understand ... Registration Preferred: Life/Health and/or FINRA Series 6, 63 LD#... more

Nov 14 Senior Analyst, User Testing Finra Rockville, MD

FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The Financial ... registered securities representatives. FINRA has approximately 3,000 employees and... more

Nov 12 Senior Analyst, User Testing Finra Rockville, MD

initiative, consider a career with FINRA.FINRA is an Equal Opportunity Employer, ... registered securities representatives. FINRA has approximately 3,000 employees and... more

Nov 12 Branch Financial Advisor (Frederick, MD - Riverside, Walkersville, Libertytown) Pnc Walkersville, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 12 Branch Financial Advisor (St. Michael's) Pnc St Michaels, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 12 Branch Financial Advisor (MD - Leonardtown Main and Breton) Pnc Leonardtown, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 12 Branch Financial Advisor - (Branches - La Plata, Berry Rd and Indian Head) Pnc Baltimore, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 12 Branch Financial Advisor (Carroll County - Taneytown, Union Mills and Union Bridge) Pnc Baltimore, MD

financial production minimum $250,000+. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 12 Branch Financial Advisor (Towson Branches) Pnc Baltimore, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 12 Financial Services Representative MetLife Baltimore, MD

by MetLife Securities Inc. (MSI)(member FINRA/SIPC), a registered investment advisor, New York, NY 10166. MPCIC, MLIC & MSI are MetLife companies. MetLife is an Equal Opportunity... more

Nov 12 Marketing Director MetLife Baltimore, MD

with existing MetLife clients (may require FINRA registration) * Ability to understand and apply industry and demographic trends within the community * Technical and functional... more

Nov 11 Senior Analyst, User Testing Finra Rockville, MD

and initiative, consider a career with FINRA. FINRA is an Equal Opportunity ... registered securities representatives. FINRA has approximately 3,000 employees and... more

Nov 11 Director, OWB- Securities Fraud Detection and Market Intelligence Finra Rockville, MD

Financial Industry Regulatory Authority (FINRA) is the largest non-governmental ... registered securities representatives. FINRA has approximately 3,000 employees and... more

Nov 11 Securities Regulatory Analyst- Fixed Income Investigations Finra Rockville, MD

contracts (GICs), Company Description FINRA, created through the consolidation of ... Financial Industry Regulatory Authority (FINRA) is the largest non-governmental... more

Nov 11 Regulatory Analyst - Short Sales Rockville, MD

relevant rules and regulations enforced by FINRA and ability to conduct telephone ... relevant rules and regulations enforced by FINRA. Knowledge of fixed income markets,... more

Nov 11 Regulatory Analyst - Trading Analyst Rockville, MD

relevant rules and regulations enforced by FINRA and ability to conduct telephone ... relevant rules and regulations enforced by FINRA. Knowledge of fixed income markets,... more

Nov 11 Regulatory Analyst - Fixed Income Rockville, MD

relevant rules and regulations enforced by FINRA and ability to conduct telephone ... relevant rules and regulations enforced by FINRA. Knowledge of fixed income markets,... more

Nov 11 Director - Office of the Whistleblower Rockville, MD

regulatory issues and trends that warrant FINRA action. Effectively manage assigned resources including ensuring that staff receives timely performance feedback and formal... more

Nov 11 Senior Marketing Manager, E-Commerc... Calvert Bethesda, MD

applicable SEC and FINRA regulatory requirements is preferred. · Demonstrated ... skills. · FINRA Series 6 or 7 license expected within the first year. ·... more

Nov 08 Recruiting Coordinator MetLife Baltimore, MD

candidates with appropriate licensing and FINRA registration information; assist candidates in completing the licensing paperwork and processing appointments and U4s. 6. Maintain... more

Nov 07 Administrative Manager, Associate Branch - Bethesda, MD (BA) UBS Financial Services Bethesda, MD

branch business culture Required Licenses .FINRA Registrations: Series 7, 66, 8 or 9 and 10 - Series 3 (if applicable) .Life and Health Insurance licenses, required if supervising... more

Nov 06 Branch Financial Advisor (MD - Leonardtown Main and Breton) Pnc Leonardtown, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Nov 04 Administrative Manager - Baltimore, MD (JW) UBS Financial Services Baltimore, MD

branch business culture Required Licenses .FINRA Registrations: Series 7, 66, 8 or 9 and 10 - Series 3 (if applicable) .Life and Health Insurance licenses, required if supervising... more

Nov 03 Financial Advisor Ameriprise Rockville, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Nov 03 Financial Advisor Ameriprise Timonium, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Nov 03 Financial Services Representative MetLife Baltimore, MD

(MSI)(member FINRA/SIPC), a registered investment advisor, New York, NY 10166. MPCIC, MLIC & MSI are MetLife companies. MetLife is an Equal Opportunity Employer. more

Nov 02 Regional Channel Manager - MidAtlantic Automatic Data Processing Rockville, MD

adership skills, professionalism and business planning capability. Excellent oral and written communication skills essential. Specific Licensing FINRA 6 and/or 63 ADP is an... more

Oct 29 Regional Channel Manager - MidAtlantic ADP Rockville, MD

Specific Licensing FINRA 6 and/or 63 ADP is an Equal Opportunity/Affirmative Action Employer; M/F/D/V. ADP believes that diversity leads to strength. Education: Bachelors Job... more

Oct 28 Registered Representatives Broker Dealer Financial Services Maryland

l funds, and insurance products. A minimum of 3 years experience in the financial industry is preferred.Licensed individuals preferred(FINRA Series 3, 7, 24, 64, 65, 66... more

Oct 26 Senior Marketing Manager, E-Commerce Bethesda, MD

and concepts, including applicable SEC and FINRA regulatory requirements is preferred. ... written and verbal communication skills. a FINRA Series 6 or 7 license expected within... more

Oct 25 PNC Investments - Licensed Sales Assistant Pnc Baltimore, MD

Number : 608071 Description : As a FINRA licensed employee of PNC Financial ... the following qualifications: Required are FINRA series 7 & 63 licenses. 3+ years... more

Oct 25 Senior Marketing Manager, E-Commerce Unifi Companies Bethesda, MD

and concepts, including applicable SEC and FINRA regulatory requirements is preferred. ... written and verbal communication skills. FINRA Series 6 or 7 license expected within... more

Oct 22 Salesforce Developer StarPoint Solutions Baltimore, MD

will be subject to full FINRA Background check prior to employment.CLIENT is looking for a Senior Salesforce.com Application Developer with 7+ years IT experience to work in... more

Oct 22 Senior Marketing Manager, E-Commerce Calvert Bethesda, MD

and concepts, including applicable SEC and FINRA regulatory requirements is preferred. ... written and verbal communication skills. FINRA Series 6 or 7 license expected within... more

Oct 19 PNC Investments - Licensed Sales Assistant (Baltimore, MD) - (Jo Pnc Baltimore, MD

40 As a FINRA licensedemployee of PNC Financial Services Group, you become part of an organization committed to customers, employees, investors, and the communities in which we do... more

Oct 16 Legal and Compliance Administrative Assistant Morgan Stanley Baltimore, MD

systems is preferred: - Web CRD ... - FINRA EFT ? National Association of Securities Dealers Electronic File Transfer application - NRS, RMUB and RRUB ? Morgan Stanley mainframe... more

Oct 14 Senior Compliance Consultant T. Rowe Price Baltimore, MD

recommendations in order to mitigate risk.* FINRA Audits Utilizes expert knowledge of ... experience preferred* Knowledge of FINRA, SEC and other Regulatory and Self... more

Oct 13 Financial Advisor First Command Financial Planning Rockville, MD

, Inc. and First Command Bank. Financial planning services and investment products, including securities are offered by First Command Financial Planning, Inc. (Member SIPC,... more

Oct 13 Financial Advisor First Command Financial Planning Fulton, MD

, Inc. and First Command Bank. Financial planning services and investment products, including securities are offered by First Command Financial Planning, Inc. (Member SIPC,... more

Oct 13 Financial Advisor First Command Financial Planning Annapolis, MD

, Inc. and First Command Bank. Financial planning services and investment products, including securities are offered by First Command Financial Planning, Inc. (Member SIPC,... more

Oct 13 Financial Advisor First Command Financial Planning Camp Springs, MD

, Inc. and First Command Bank. Financial planning services and investment products, including securities are offered by First Command Financial Planning, Inc. (Member SIPC,... more

Oct 08 Branch Financial Advisor - (Branches - La Plata, Berry Rd and Indian Head) Pnc Baltimore, MD

financial sales experience required. FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. Life Insurance License required. Bachelor's... more

Oct 08 Branch Financial Advisor - (Branches - La Plata, Berry Rd and Indian Head) Pnc Waldorf, MD

financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date. * Life Insurance License required. *... more

Oct 02 Financial Advisor Job Ameriprise Financial Rockville, MD

ervices in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal Opportunity... more

Oct 02 Financial Advisor Job Ameriprise Financial Timonium, MD

ervices in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal Opportunity... more

Sep 18 Regulatory Analyst Finra Rockville, MD

NASD is the leading private-sector provider of financial regulatory services, dedicated to bringing integrity to the markets and confidence to investors through effective and... more

Sep 16 Sharepoint Admin/developer Viceroy Solutions Rockville, MD

the last 2 years FINRA has implemented Sharepoint into their environment for all of the various internal business groups. These groups use Sharepoint to update regulations and for... more

Sep 14 401(k) District Manager ADP Rockville, MD

1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... more

Aug 31 Registered Broker-Retail/Financial Advisor Ameriprise Financial Maryland

roducts and services in addition to providing you with various strategic marketing assistance.JCODE:23916Ameriprise Advisor Services, Inc.Member NYSE, FINRA & SIPCEqual... more

Aug 31 Registered Broker-Retail/Financial Advisor Ameriprise Financial Maryland

roducts and services in addition to providing you with various strategic marketing assistance.JCODE:23916Ameriprise Advisor Services, Inc.Member NYSE, FINRA & SIPCEqual... more

Aug 31 Sales-Agency/Broker Allstate Maryland

e is looking for qualified candidates who have at least 3 years financial services or life insurance experience and have the applicable FINRA licensing. Industry designations and... more

Aug 31 Registered Broker-Retail/Financial Advisor Pnc Bank Maryland

financial sales experience required.-FINRA Series 7 and 66 or (63 & 65) licenses required or obtained within 90 days of start date.-Life Insurance License required.-Bachelor's... more

Aug 28 Financial Advisor Ameriprise Financial Rockville, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Aug 28 Financial Advisor Ameriprise Financial Rockville, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

Aug 27 Financial Advisor Ameriprise Financial Timonium, MD

cts and services in addition to providing you with various strategic marketing assistance. JCODE:23916 Ameriprise Advisor Services, Inc. Member NYSE, FINRA & SIPC Equal... more

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