6 Jobs for Finra Regulations in the United States

Compliance Officer

Invesco Group Services, INC. • Atlanta, US • Hybrid

70,000 - 100,000 USD (est.)

•Full-Time•Permanent

SEC RegulationsRegulatory ComplianceFINRA RegulationsCFTC/NFA Regulations

MMS Rollover Specialist

TIAA • Charlotte, US • On-site

54,000 - 74,000 USD (est.)

•Full-Time•Permanent

Customer ServiceDigital SavvinessFINRA RegulationsInsurance Knowledge

Financial Advisor

UMB FINANCIAL SERVICES INC • Overland Park, US • On-site

102,960 - 125,840 USD (est.)

•Full-Time•Permanent

IRAsSalesRisk AssessmentSEC Regulations

Control Room Associate

BBVA SECURITIES NEW YORK • New York, US • On-site

120,000 - 130,000 USD (est.)

•Full-Time•Permanent

ComplianceNFA RegulationsSEC RegulationsCFTC Regulations

Investment Associate, FINRA Registered - Essex Junction, VT

Key Investment Services, LLC • Essex Junction, US • Hybrid

48,000 - 72,000 USD (est.)

•Full-Time•Permanent

Microsoft WordEmail PlatformsMicrosoft ExcelInternet Navigation

Research Risk Management Vice President

MS & Co., LLC • New York, US • On-site

140,000 - 250,000 USD (est.)

•Full-Time•Permanent

ComplianceRisk ManagementOperational RiskIncident Management

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